NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Estate of Thomas J. Witschel 96-02355 Name of Respondents The Prudential Insurance Co. of America Pruco Securities Corporation REPRESENTATION For Claimant Estate of Thomas J. Witschel ("Claimant") appeared Howard Breindel, Esq. of Breindel & Ferstendig, P.C. located in New York, NY. For Respondent Pruco Securities, Inc. ("Pr

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Charles Cerone 96-02353 Name of Respondent The Prudential Insurance Co. of America REPRESENTATION For Claimant Charles Cerone ("Claimant") appeared Joel N. Kreizman, Esq., of the law firm Evans, Osborne, Kreizman & Bonney located in Ocean, New Jersey. For Respondent Prudential Insurance Co. of America ("Respondent") appeared Burton J. Fishman, Esq., of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerald R. and Bernice Lishka 96-02351 Name of Respondents A.G. Edwards & Sons, Inc. Vicci Delores Havens CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1996, claimants Gerald R. and Bernice Lishka ("claimants"), who appeared Pro Se, alleged that respondent A.G. Edwards &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gerald R, Lishka 96-02350 Name of Respondents A.G. Edwards & Sons, Inc. Vicci Delores Havens CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1996, Claimant Gerald R. Lishka ("Claimant 1 ') who appeared Pro Se, alleged that he opened an Individual Retirement Account

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Kenneth E. Johnson 96-02348 Name of Respondents Investors Associates, Inc. Kevin Coughlin Thomas Re Name of Third Party Respondent Edwin Mishkin REPRESENTATION For claimant Kenneth Johnson ("claimant") appeared Carole Fern, Esq. of the law firm of Berlack, Israels, and Liberman located in

tf.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NjUneafClaijnant Carol Linker 96*02345 Royal Alliance Associates, Inc. Morton J. Potoff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Jui»^3 r 1955fe Claimant Carol Linker, Ph.D., CFP ("Claimant' 1 ), who appeared Pro Se, alleged Respondents Royal Alliance Associates, Inc. ("RAA") an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naine of Claimant Jeffrey P. Schlansky 96-02344 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1996, Claimant Jeffrey P. Schlansky ("Claimant"), who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. ("Respondent" or "DWR") imprope

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Richard Kreekon, Claimant, and No. 96-02336 Herzog, Heine, Geduld, Inc., E*Trade Securities, Inc., Respondents, REPRESENTATION OF PARTIES Claimant Richard Kreekon was represented by Michael D. McKinley, Esquire , Julie C. McKain, Esquire and Timothy D. Zeiger, Esquire of McKinley Ringer Zeiger, P.C., located in Dallas, Texas. Respondents Herzog,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Daniel B. Darling and 96-02335 Name of Respondent Cohig & Associates, Inc. James Arville Wallstrom REPRESENTATION OF PARTIES Daniel B. Darling ("Claimant") was represented by Noel Guardi, Esq., Denver, Colorado. Cohig & Associates, Inc. ("Respondent Cohig") and James Arville Wallstrom ("Respondent Wallstrom")(collectively as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William R. Thiede, III, Claimant v. Ernie Oregel and Henry Back Fahman, Respondents Case Numher: 01-02094 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: William R. Thiede, III In Propria Persona Oceanside, California For Respondent Ernie Oregel: Ernie Oregel In Propria Persona Mission