AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants John H. and Judith Ann Bruckner 96-02230 Names of Respondents Josephthal Lyon & Ross Inc. Sheldon Berman Donald A. Peterson REPRESENTATION For Claimants John H. and Judith Ann Bruckner ("the Bruckners"): Eugene Michael Kennedy, Esq. of Fort Lauderdale, Florida. For Respondents Josephthal Lyon & Ross, Inc. ("Jo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Carla J. Walter Estate of Michael J. Walter Case No. 01-02086 Name of Respondent Bane of America Investment Services Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Carla J. Walter ("Walter") and the Estate of Michael J. Walter (the "Estate"), hereinafter collectively referred to as "Claimants": Philip J. Snyderburn, Esq., Snyd

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: L. Richard Kawka, (Claimant) vs. Prudential Securities Incorporated, Gruntal & Co., L.L.C., and Harry Krigman, (Respondents) vs. Daniel J. Coyne (Third-Party Respondent) Case Number: 00-00792 Hearing Site: Boston, Massachusetts Claimant, L. Richard Kawka, hereinafter referred to as "Claimant": John A. Hobson, Esq., Perkins, Thompson, Hinckley & Keddy, Portland, ME. Respondent,

AWARD NASD Regulation, Inc. Office of Dispute Resolution" - In the Matter of the Arbitration Between S. Bowman Reid, Claimant, v. No. 96-02229 Charles A. Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimant S. Bowman Reid was represented by Robert L. Crawford, Esquire of Wyatt, Tarrant & Combs, located in Memphis, Tennessee. Respondent Charles A. Schwab & Co., Inc. was represented by Angela G. Miele, Esquire of Kutak Rock,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Stifel, Nicolaus & Co., Inc., Claimant and Counter-Respondent, and No. 96-02227 Joseph J. Weinrich, Sr., Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant, Stifel, Nicolaus & Co., Inc., was represented by John W. Shaw and Bryan Cave, Esquires, located in Kansas City, Missouri. Respondent, Joseph J. Weinrich, Sr, was represented pro

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Melvin Wallshein Melissa Wallshein Melvin Wallshein, Rollover Melvin Wallshein, DDS PC Profit Sh Trust Melvin Wallshein, DDS PC Pension Trust Melvin & Evelyn Wallshein Foundation Sp Melvin Wallshein, IRA Melissa J. Wallshein, IRA 96-02220 Name of Respondents Smith Barney Inc. Ronald M. Friedman REPRESENTATION For Claimants Melvin Wallshein, M

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Scon and Jemiliya Pudalov 96-02219 Name of Respondents Auerbach, Pollack & Richardson Inc. Robert Arndt REPRESENTATION For claimants Scott and Jemiliya Pudalov ("claimants") appeared their representative Pierre Merle, Esq. a sole practitioner, located in New York, New York. For respondents

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants L. Clyde Groover, Jr. & Ida A. Groover 96-02218 Name of Respondents Adam Jagoda Raul Rabenga REPRESENTATION Claimants L. Clyde Groover, Jr. and Ida A. Groover ("Claimants") were represented by John F. Rodgers, Esq., Redmon, Boykin & Bras well, Alexandria, VA. Respondents Adam Jagoda ("Jagoda") a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Bill S. Bales and Nancy T. Bales, and Unimed, Inc. Pension Trust, Claimants, and Dean Witter Reynolds, Inc., Respondent. No. 96-02211 REPRESENTATION OF PARTIES Claimants Bill S. Bales and Nancy T. Bales, and Unimed, Inc. Pension Trust were represented by Clifford B. Faddis, Jr., Esquire, located in St. Louis, Missouri. Respondent Dean Witter

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Nicholas and Tania Steffora Arbitration No. 96-02208 and Name of Respondents Josephthal Lyon & Ross Michael A. Volpe Steven Jacobs REPRESENTATION OF PARTIES Nicholas and Tania Steffora ("Claimants") represented themselves, pro se. Josephthal Lyon & Ross and Michael A. Volpe ("JLR/Volpe") were represented by Robert E