N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edwin and Mary Snyder E.L. Snyder & Associates 96-02611 Name of Respondents Dean Witter Reynolds, Inc. Edward Goddard REPRESENTATION For Claimants: Stephen Murphy, Esq. of Pino & Dicks, Longwood, FL, For Respondents; Debra Roth, Esq. of Dean Witter Reynolds, Inc. CASE INFORMATION Statement of Claim filed: June 14,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02124 Richard Brown Name of the Respondent Hearing Site: Chicago, Illinois Clive Botha REPRESENTATION OF PARTIES Claimant Richard Brown ("Brown") was represented by Ernest E. Badway, Esq. of the firm Saiber Schlesinger Satz & Goldstein, LLC. Respondent Clive Botha ("Botha") appeared pro se. CASE INFORMATION Statement of Clai

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Stephen and Janet Kasparian 96-02600 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION Claimants Stephen and Janet Kasparian ("claimants") appeared pro se. ; : -5 r; v P'^ For Respondent Dean Witter Reynolds, Inc., ("respondent") appeared Paul G.«Th6ma$^Esq>, in-hoyse counsel for respondent. CASE INFORMATION Statement of Claim was filed on

N.A.S.D. Regulation AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Soft Solution, Inc. 96-02599 Name of Respondents Sherwood Capital, Inc. Triak Services Corp. d/b/a/ National Discount Brokers REPRESENTATION For claimant Soft Solution, Inc. ("Soft Solution") appeared Eric Hovdesven, Esq. of the law firm Sadler & Associates, P.C. located in Atlanta, Georgia. For

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Gary D. and Shirley H. McCutchen Name of Respondents L.C. Wegard & Co., Inc. Joseph Sceurman Leonard Greer Michael McDermott 96-02596 REPRESENTATION Claimants Gary D. and Shirley H. McCutchen ("Claimants") were represented by Andrew O. Whiteman, Esq., of the law firm of Hartzell & Whiteman, LLP, Raleigh, NC. Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of ihe Arbitration Between Name of Claimant Orville Ott 96-02595 Name of Respondent $Monitor Investment Group, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 17, 1996, claimant Orville Ott ("claimant") who appeared Pro Se, alleged that respondent Monitor Investment Group, Inc. ("MIG") allowed an authorized t

N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Siegfried Wesserle and Ingeborg Wesserle 96-02594 Name of R^pondent Oppenheimer & Co., Inc. REPRESENTATION For Claimants: Siegfried Wesserle and Ingeborg Wesserle ("Wesserle") were represented by Siegfried Wesserle of GJenview, Illinois. , ^'ntnvr For Respondent: Oppenheimer & Co., Inc.•'("OppenheimeT") wag represente

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Vincent Gewalt v. Arbitration No. 96-02593 Name of Respondents Dean Witter Reynolds, Inc. David Combes REPRESENTATION OF PARTIES Vincent Gewalt ("Claimant") was represented by Michelle R. Finch, Esq. and Whitaker Riggs, Esq., Finch Cosho, P.A., Boise, Idaho. Dean Witter Reynolds, Inc. and David Combes ("Respondents") we

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter Kellogg Bertine, Jr. 96-02588 Name of Respondents National Discount Brokers Joe McKenna CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 17, 1996, Claimant Peter Kellogg Bertine, Jr. ("Claimant"), who appeared Pro Se, alleged that on March 7, 1996 he entered an order for

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant B.J. Ukra v. ' - Arbitration No. 96-02586 Name of Respondent Bear Stearns Securities Corporation REPRESENTATION For Claimant: Gerald M. Shaw, Esq. Law Offices of Gerald M. Shaw Corona Del Mar, California For Respondent: Ellen R. Friedman Associate Director Bear Stearns & Co., Inc. Los Angeles. California