AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert L. Huff; and 96-01367 Names of Respondents Prudential Securities Inc. and Gerald Kissner. REPRESENTATION OF PARTIES Claimant Robert L. Huff ("Huff 1 ) was represented by John E. O'Neill, Esq, of Clements, O'Neill, Pierce & Nickens in Houston, Texas. Respondent Prudential Securities Inc. ("Prudential") and Resp

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Edward V. Gonzalez, Jr., Claimant, and No. 96-01366 Equitable Life Assurance Society of the United States, Respondent, REPRESENTATION OF PARTIES Claimant Edward V. Gonzalez, Jr. was represented by Tomas Ramirez, III, Esquire, of San Antonio, Texas. Respondent Equitable Life Assurance Society of the United States was represented by David M. Ellis

NASD REGULATION AWARD Name of Claimant Deborah Wolrich 96-01361 Name of Respondent Dean Witter Reynolds Inc. Roger L. Cahn REPRESENTATION Claimant Deborah Wolrich ("claimant") was represented by Louis Lerner of Newton, Massachusetts. Respondents Dean Witter Reynolds Inc. ("Dean Witter") and Roger L. Cahn ("Cahn") were represented by Debra A. Roth, Esq., Vice President and Senior Attorney of Dean Witter Reynolds Inc. CASE INFORMATION

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Joseph Joseph 96-01360 Name of Respondents Stratton Oakmont, Inc. Scott Feigelman Stephen G. Buxton REPRESENTATION For Claimant Joseph Joseph ("Claimant") appeared Marc S. Beckman, Esq. of the law office of Sonneborn Law Offices located in Syracuse, New York. Respondent Scott Feigelman("Feigelman") appeared pro se. Respondent Stephen Buxton ("B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant > James Garrett 96-01356 Name of Respondent John Lembo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1996, claimant James Garrett ("claimant"), who appeared Pro Se, alleged that respondent John Lembo ("respondent") was manipulative, deceptive and fraudulent in his secur

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard A. Chesney 96-01345 Name of Respondents Cantella & Company Kevin Horn Vision Investments Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1996, Claimant Richard A. Chesney ("Claimant"), who appeared Pro Se, alleged that Respondents Kevin Horn ("Horn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Brantley, Trustee for Robert Brantley Revocable Trust 95-04846 Name of Respondents Clarence L. Brown Buckhead Financial Corp. REPRESENTATION For Claimant: Robert M. Weinberger, Esq. of the law firm of Cohen, Chermay, Norris, Weinberger & Harris, North Palm Beach, FL. For Respondents: Henry Lee Paul, Esq. of the law f

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Robert W. and Norma E. Lovell 95-04842 Names of Respondents Buckhead Financial Corporation J. Floyd Swilley REPRESENTATION For Claimants: Robert M. Weinberger, Esq. of the law Firm of Cohen, Norris, Scherer, Weinberger & Wolmer, North Palm Beach, Florida. For Respondent Buckhead Financial Corporation ("Buckhead"): Gregory R. Crochet, Esq. of the l

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Donald Onofrey, (Claimant) v. Leader Investment, Inc. and Harry Cavallaris, (Respondents) Case Number: 01-02004 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Donald Onofrey ("Onofrey"): Andrew J. Stoltmann, Esq. of the firm Maddox, Koeller, Hargett & Caruso located in Chicago, Illinois. Respondent Leader Investment, Inc. ("Leader Investment") and H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants John R. Adler, Jill W. Adler and the Adler Family Revocable Trust dated March 7, 1986 v. Name of Respondents John Fromm and Sunpoint Securities, Inc. NASD Arbitration No.95-04841 REPRESENTATION For Claimants: For Respondent Sunpoint Securities Inc. Robert M. Weinberger, Esq. Cohen, Chernay, Norris, Weinbe