NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Arthur C. and Marilyn D. Dartley 96-02405 Name of Respondents Olde Discount Corporation Mark D. Haft Michael T. Manifold REPRESENTATION For Claimants Arthur C. and Marilyn D. Dartley ('claimants") appeared Frederick A. Nicoll, Esq. with law offices in Paramus, New Jersey. For Respondents Olde Discount Corporation ("Olde"), Mark D. Haft ("Haft") and Michael T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernard L. and Shirley A. Georskey 96-02400 Name of Respondents Chatfield Dean & Company, Inc AliD. Eryurt REPRESENTATION For Claimants: W. Andrew Clayton, Jr., Esq. of The Clayton Law Firm, P.A., Sarasota, FL. For Respondents Chatfield Dean & Company, Inc. ("Chatfield") and Ali D. Eryurt ("Eryurt"): Christa D. Taylor, Esq

NATIONAL ASSOCIATION OF SECURITIES DEALERS It 1 . r|;e \K-.rr-r --f rhc Arbitration Between Name of Claimant Torres Pines Securities, Inc. 96-02390 Name of Respondent David Toper CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 4, 1996, claimant Torrey Pines Securities, Inc. {Torrey") through its representative, Jack C. Smith of the company, alleged that respondent David Toper ("To

NASD REGULATION, INC. AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Oide Discount Corporation NASD Case No. 96-02386 Name of Respondents J&R Holdings, Inc. Joseph Russo REPRESENTATION For Claimant Olde Discount Corporation ("claimant") appeared Robert S. Anderson, Olde Discount Corporation, Detroit, Michigan. ? < Respondent J & R Holdings, Inc. did not enter an appearance. Respondent Joseph Russo ("Russo")

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John J. Collins and Case Number 96-023 82 Name of Respondent Smith Barney, Inc. John J. Collins ("Claimant") was represented by Richard Parker, Esquire of Richard Parker & Associates located in Houston, Texas. Smith Barney, Inc. ("Respondent") was represented by Suzanne S. Killian, Esquire of Odgen, Gibson, White & Broo

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Financial Network Investment Corporation v. Arbitration No. 96-02372 Name of Respondent(s) Sheldon G. Zimmerman June Sayer Zimmerman And Related Counterclaims REPRESENTATION For Claimant: Samuel Y. Edgerton, m, Esq. Nash & Edgerton Hermosa Beach, California For Respondents: James M. Peterson, Esq. Higgs, F

CONSENT AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc. Claimant, v. No. 96-02369 Hezam AH Reyme Respondent. REPRESENTATION OF PARTIES Claimant A.G. Edwards & Sons, Inc. ("Claimant") was represented by Catherine Hope Johnson, Esq. of A.G. Edwards & Sons, Inc. located in St. Louis, MO. Respondent Hezam Ali Reyme ("Respondent") was represented by Kenneth J. Kurncz, Esq

M t ft r S»D» AWftRD NATIONAL ASSOCIATN OF 5PrTTTTIES In the matter of the Arbitration Between Name of Claiifl^pt (si Emile Habib NASD Arbitration No. 96-02360 Name of Respopdent (s) Charles Schwab & Co., Inc. REPRESEHTATI ON For Claimant: Emile Habib, San Jose, California For Respondent: Linda Drucker, Esq., Charles Schwab & Co., Inc., San Francisco, California CASE INFORMATION Statement of Claim filed: May 24, 1

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Stanley Dean Witter, Claimant, Vs. Robert William Anson, Adnan A. Sardar, Richard P. O'Leary, n, Stephen H. Williams, First Union Securities, Inc. Respondents. Case Number: 01-02097 Hearing Site: Dallas, Texas Claimants, Dean Witter Reynolds Inc. n/k/a Morgan Stanley Dean Witter ("MSDW") was represented by Robert L. Tobey, Esquire, of the Firm Johnson an

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert L. McDonald and Name of Respondents Vision Investment Group, Paul Caruso, Mike Corulla, and Bill Battista Case Number: 96-02359 REPRESENTATION OF PARTIES Claimant Robert L, McDonald ("Claimant") was represented by David J. Hase, Esq. of Cook & Franke located in Milwaukee, Wisconsin. Respondents Mike Corull