AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Robert B. Cayne, Jr., Phyllis J. Ash, individuals, TICKET TO RIDE, INC., a corporation v. Arbitration No. 96-01824 Name of Respondents Hamid Fereydouni, Dean Witter Reynolds, Inc. REPRESENTATION For Claimants: Robert Hirshman, Esq. Robert Hirshman & Associates Encino, California For Respondents: Michelle Bryan Qroschak

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stuart M. Fricdell and Nancy R. Friedeil and 96-01818 Name of Respondent Hamilton Investments, Inc. Roger Doom REPRESENTATION OF PARTIES Stuart M. Friedeil and Nancy R. Friedeil ("Claimants") was represented by Steven E. flap, Esq.,Rau & Floyd, P.L.L.P., Minneapolis, Minnesota and Lorenz F. Fett, Esq., Lockridge Grindal, Nauen &

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Robert W. Day Arbitration No. 96-01817 Name of Respondent(s) Chad Beanland REPRESENTATION For Claimant: Richard Peter Kammet, Investor Consumer Advocates, Albany, California For Respondent: No appearance by Respondent Chad Beanland CASE INFORMATION Statement of Claim filed: April 18, 1996 Claimant's Submissio

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nam^rfClaimant Audrey Bassett 96-01815 Merrill^ Lynch, Pierce, Fenner A Smith, Inc. CASH SUMMARY In a claim filed with the National Association of Securities Deakra, IDC. on April 26, 1 Claimant Audrey Bassett ("Claimant"), who appeared Pro Se, alleged tint in Octobv of Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Respondent*), repr

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Larry Moffett Case No. 96-01814 of Responents Robert RondineRo Vision Investment Group, Inc. REPRESENTATION OF PARTIES Claimant Larry Moffett appeared pro se. Respondent Robert Rondinsllo Esq. appeared pro sa. For Respondent Vision ("Vision"): Paul Caruso of Vision Investment Group. Inc. CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dominic and Martha Puleo 96-01813 Name of Respondents Norfolk Securities Corporation Kirk Ruffler CASE SUMMARY [n a claim filed with the National Association of Securities Dealer, Inc. on April 26, 1996, Claimants Dominic and Martha Puleo ("Claimants"), who appeared Pro Se, alleged that Respondents Norfolk Securities Corpo

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Leonard J. Petitti as Trustee of the Profit Sharing Plan UAD 1985, Petitti Family Trust, Rosine Petitti, Walter Bills and Vera Bills v. Name of Respondent Dominick Stillo II Arbitration No. 96-01806 For Claimants: For Respondent: REPRESENTATION Jeffrey L. Gaffney, Esq. Law Offices of Jeffr

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Finn R. Stordahl and Evelyn E. Stordahl, Claimants, and No. 96-01803 SunAmerica Securities, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Finn R. Stordahl and Evelyn E. Stordahl were represented pro se. Respondent SunAmerica Securities, Inc. was represented by John Nicgorski, Esquire of Mohr, Hackett, Pederson, Blakley, P.C., located in Pho

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Melvin P. and Cathy R. Gold 96-01802 Name of Respondents L.C. Wegard & Co., Inc. John Adams REPRESENTATION For claimants Melvin P. and Cathy R. Gold ("claimants") appeared their representative George M. Kontos, Esq. of the law firm Swensen Perer & Johnson located in Pittsburgh, Pennsylvania. Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Case Number: 01-02050 Roland G. Pettit Respondents Hearing Site: Chicago, Elinois Robert W. Baird & Company, Inc. and Thomas J. Stanley REPRESENTATION OF PARTIES Claimant, Roland G. Pettit Pettit, hereinafter referred to as "Claimant": Stephen J. Thomas, Esq. with the Thomas Group located in Peoria, Illinois Respondents, Robert W. Baird & Company, Inc. ("B