V* 1 N.A.S.D. AWARD X NATIONAL ASSOCIATION OF SECURITIES DEALERS Fn the Matter of the Arbitration Between Name of Claimant M £>-< 3-4-3 - H Maxwell Lewitus Living Trust Name of Respondents ^prudential Securities Inc Janney Montgomery Scott Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on May 7, 1996, claimant Maxwell Lewitus TTEE of Living Trust of Maxwell Lewitus ("claimant"), who

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bryan Kittelberger Michael Deming 96-02433 Name of Respondent Investors Associates, Inc. CASE SUMMARY In a claim Filed with the National Association of Securities Dealers Regulation, Inc. on June 7, 1996, claimant Bryan Kittleberger (Claimant), who appeared Pro Se, alleged that on August 23, 1995 he placed an order with re

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Joseph Arcangeli, Claimant, and No. 96-02432 Stratton Oakmont, Inc., Joshua Shapiro, Select Media Communications, Jordan Belfort, Mark Daniel Porush, Patrick Hayes, and Mitch J. Gutkowski, Respondents. « REPRESENTATION OF PARTIES Claimant, Joseph Arcangeli ("Claimant"), was represented by Louie Quijano, Ph.D of Public investors A

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Don Kim v. Arbitration No, 96-02425 Name of Respondents Sutro & Company, Inc. and Daniel Munter REPRESENTATION For Claimant: Bruce R. Safran, Esq. Law Office of Bruce R. Safran Tarzana, California For Respondent: Michael J. Abbott, Esq. Jones, Bell, Simpson, Abbott & Fleming Los Angeles, California CASE

NASD REGULATION, INC. AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant CAROLYN GLOSSER, as Trustee of the CREATIVE APPAREL, INC. PROFIT SHARING PLAN; CAROLYN GLOSSER, as Custodian for KRYSTALLE GLOSSER, a minor; CAROLYN GLOSSER, as Custodian for JOHN ADAM GLOSSER, a minor. v. Arbitration No. 96-02424 Name of Respondent American National Securities, Inc. (aka Amerinational Financi

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Paul G, Giroir, Charlotte D. Giroir, Individually and on behalf of their minor children, Ryan Giroir, and Shannon Giroir, and A-Abal Transmissions & Differentials, Inc. Claimants, and No. 96-02423 Prudential Securities, Inc., William E. Blakeman, Stanley T. Broussard, Individually, and in his capacity as General Partner of Broussard and Fontenot, De

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kehching Feng 96-02419 Name of Respondents Investors Associates, Inc. Alfred Blaikie, m Arthur Ostrowski CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on June 6, 1996, Claimant Kehching Feng ("Claimant"), who appeared Pro Se, alleged that Respondents Investors Associates, Inc. (

I Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name Claimant James D. Neuzerling Name, nf th^ Rp.sprmdents Barren Chase Securities, Inc.; Tradeway Securities Group, Inc.; Jeffrey S. Warren; Carlo Piraneo; Robert A. DiCarlo, Jr.; Michael H. Weston ! 01-02104 Hearing Site- Milwaukee, Wisconsin RF.PPF.RF.NTATOJ Claimant James D. Neuzerling ("Neuzerling") was represented by Mark E. Sanders, Esq. o

N.A.S.D. REGULATION, INC. FINAL AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Howard Kahalnik 96-02414 Name of Respondent John Hancock Funds, Inc. REPRESENTATION For Claimant: Howard Kahalnik ("Kahalnik") was represented by Thomas R. Meites, Esq. and Roberta A. Levinson, Esq. of Meites, Frackman, Mulder & Burger, located in Chicago, Illinois. For Respondent: John Ha

KT.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Marie C. Steiger Names of Respondents Pacific Coast Financial Securities Sean T. Duran, Douglas Ashman, Kirt W. Ashman, Thomas Cans, Don Morandini NASD Arbitration No. 96-02411 REPRESENTATION For Claimant Marie C. Steiger: Peter Dion-Kindem, Esq., Buchanan & Kindem, P.C. For Respondents: A. No appeara