N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard V. Dutchik 96-02207 Name of Respondents A.S. Goldmen & Company, Inc. Names of Third Party Respondents Richard Madison Joseph Piscopo REPRESENTATION For Claimant: Thomas R. Townsend, Jr., Esq., Rodrtedge, Rorida. For Respondent A.S. Goldmen & Company, Inc. ("Goldmen"): Carole R. Bernstein, Esq., Nqrwalk, Conn

0.4/27/98 MQN 11:03 FAI NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John F. Tessendorf, Claimant. and Case Number: 96-02204 Landmark International Equities, Yuri Aulov, and Eric Aronson, Respondents. REPRESENTATION OF PARTIES Claimant John F* Tessendorf ("Claimant") was represented by Michael H. Schaalman, Esq. and Walter J. Skipper, Esq. of Quarles & Brady located in

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Doren Elaine Steckler, Claimant, v. Case Number 96-02202 Olde Discount Corporation, Respondent. REPRESENTATION OF PARTIES Claimant Doren Elaine Steckler ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss located in Bingham Farms, Michigan. Respondent Olde Discount Corporation ("Respondent" or "Olde") was

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ciaimantfsl Clair Edward Herron, Jr. 96-02196 Name of Respondentfs) Stratton Oakmont, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on May 13, 1996, claimant Clair Edward Herron, Jr. ("Herron"), who appeared pro se, alleged that April Weiner ("Weiner"), a senior Vice President employed by re

AWARD NASD Regulation, Inc. Office of Dispute Resolution .. In the Matter of the Arbitration Between Name of Claimant Scott M Dubravac and 96-02195 Name of Respondent Strategic Resource Management, Inc. Timothy Brannon REPRESENTATION OF PARTIES Scott M. Dubravac ("Claimant") was represented by Andrew I. Telsey, Esq., Aurora, Colorado and Steven L. Zimmerman, Esq., Denver, Colorado. Strategic Resource Management, Inc. ("Respondent Strateg

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Gregory J. Wolfe v. NASD Regulation, Inc. Arbitration No. 96-02193 Name of Respondents Securities Planners, Inc. nka Buttonwood Securities Inc., David Grey and Michael R. Marcus REPRESENTATION For Claimant: Torgny R. Nilsson, Esq. Gartenberg, Jaffe, Gelfand & Stein Los Angeles, California For Respondent

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Chad R. Eshleman 96-02190 Name of Respondents Mark Lamm; Berthel Fisher & Company Financial Services Inc. REPRESENTATION For Claimant: Chad R. Eshieman ("Eshleman") was represented by lames J. Moylan, Esq. of Arnstein & Lehr, located in Chicago, Illinois. For Respondents: Berthel Fisher & Company Financial Services Inc. ("B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bob F. Reaves 96-02184 Name of Respondents Bidwell '& Company Bryan D. Smith CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on May 21, 1996, Claimant Bob F. Reaves ("Claimant"), who appeared Fro Se, alleged that Respondents Bidwell & Company ("Bidwell") and Bryan D. Smith ("Smith*

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant DBK-Pinnacle, Inc. v. NASD Arbitration No.96-02161 Name of Respondents La Jolla Capital Corporation and Harold Bailey "B.J." Gallison, Jr. v. Name of Third-Party Respondent Raymond P. Dowd REPRESENTATION For Claimant: John C. Bray, Esq. DBK-Pinnacle, Inc. Marina Del Rey, California For Respondents: Jam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Eme f Salvatore & Regina Butera 96-02159 Name of Respondents Geoffrey Newman J.B. Hanauer & Co. REPRESENTATION For Claimants: Lloyd De Vos, Esq. of the law firm of De Vos & Co., New York, NY. For Respondents: Scon L, Warfman, Esq. of the law firm of Bloom & Warfman, P.A M Miami, Florida. CASE INFORMATION Sta