Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: .Sands Brothers & Co., Ltd., (Claimant) vs. Trautman Wasserman & Co., Inc., Robert Spiegel, James Palmer, Gordon Fallone, Andrew Gallion, Sean Metrose, William Watson, John McGraw, and Shaheem Patel, (Respondents) Case Number: 01-01413 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sands Brothers & Co., Ltd., hereinafter referred to as "Claimant": Richard

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s). Jeanette Robinson and Jeanette Robinson as Trustee of the Leland P. Robinson and Jeanette W. Robinson Trust Dated October 2, 1974 v. Arbitration No. 96-05742 Name of Respondents') Lazar, Frederick & Co. REPRESENTATION For Claimant: Vincent DiCarlo, Esq., Sacramento, California For Respondent: Timothy D. McGonigl

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Thomas R. Jones, Individually and as Trustee of the Thomas Jones Pension Plan, and Deborah W. Jones, Claimants, and ^ No. 96-05741 Sterling Foster & Company, Inc., Michael Richard MacCaull, and Adam Lieberman Respondents. REPRESENTATION OF PARTIES Claimants, Thomas R. Jones, Individually and as Trustee of the Thomas Jones DDS Pension Pla

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Leonard M. Bugli, and Lacaria Building Company, Inc., Claimants, and . Case Number: 96-05737 Biltmore Securities, Inc., Glenn Aursland, Alan Siemens, Richard Bruce Bronson, and Elliot Akiva Loewenstern, Respondents. REPRESENTATION OF PARTIES Claimants Leonard M. Bugli ("Bugli") and Lacaria Building Company, Inc. ("Lacaria Building Co

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles J. Nowotny, and Charles J. Nowotny IRA & Revocable Living Trust, and 96-OST29 Name of Respondent A. G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES Charles J. Nowotny, and Charles J. Nowotny IRA & Revocable Living Trust ("Claimant") was represented by Donald J. Mehan, Jr., Esq., of Moline & Shostak, L.L.C., St. Lou

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Harold A. and Meryl N. Robinson; Harold A. Robinson Trust; Harold A. Robinson; and Harold A. Robinson Revocable Trust 96-05726 Name of Respondents StrattonOakmont, Inc.; Marc Burton; Stacey Yonkus; Jordan R. Belfort; Kenneth S. Greene; Daniel M. Porush; and William Walsh REPRESENTATION For Claimants: Harold A. and Meryl N. Robinson; Harold A. Robinson

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05725 Oriane De Straschnov, claimant v. Merrill Lynch Pierce Fenner & Smith Inc, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - located in Scottsdale, AZ. For Respondent appeared Kevin P. Kane, Esq. located in New York, NY. DATE FILED: 12/24/96. CASE SUMMARY: Claimant alleged failure to follow directions by exchanging into the wrong mut

* ^ N,A,S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05719 Kevin E. Bender, claimant vs. Rondo Omar Hosang, Norfolk Securities Corporation n/k/a Cressida Capital, Ian Richard Hosang and Jeffrey Van Blarcom, respondents. ATTORNEYS: Claimant appeared Pro Se - Tulsa, OK. Respondents Rondo Omar Hosang, Norfolk Securities Corporation n/k/a Cressida Capital and Ian Richard Hosang, did not respond to the Statem

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J & K International Trading Corporation and 96-05713 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES J & K international Trading Corporation ("Claimant") was represented by Harry S. Miller, Esq. and Matthew J. Tuttle, Esq., Perkins, Smith & Cohen, LLP., Boston, Massachusetts. Merrill

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Valentine Beskin 96-05716 Name of Respondents Fahnestock & Co., Inc. Andrew G. Sukhin REPRESENTATION Claimant Valentine Beskin ("claimant") appeared pro se. For Respondent Fahnestock & Co., Inc. ("Fahnestock") appeared Eric J. Schames, .Chief Legal Officer for Fahnestock located in New Yoik, New Yoik. For Respondent Andrew G. Sukhin ("Sukhin") appeared Elizab