AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Isidro R. Mendoza 96-05547 Name of Respondents Euro-Atlantic Securities, Inc.; John Madden; Jin Zhang REPRESENTATION For Claimant: Isidro R. Mendoza was represented by John A. Dienner, 111, Esq. of Sedgwick, Detert, Moran & Arnold, located in Chicago, Illinois. For Respondents: Euro-Atlantic Securities, Inc. did not app

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Warren Liu v. Arbitration No. 96-05539 Name of Respondents Everen Securities, Inc. and Freddie Lee REPRESENTATION For Claimant: William F. Davis, Esq. ;n:r Law Office of William F. Davis Pacific Palisades, California For Respondents: Kenneth F. Berg, Esq. Law Office of Kenneth F. Berg Chicago, Illinois CASE

AWARD In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. and Case Number 96-05530 Name of Respondent Joseph Trent SifF t REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc. was represented by Diane C. Fischer, Esquire of Gomberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent, Joseph Trent SifF did not file an answer nor did he appear at the hearing. INFORMATION Claimant, Dea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05526 Eli Levy-Sleman, claimant vs. Tom Ishak and State Capital Markets Corp., respondents. ATTORNEYS: Claimant appeared Pro Se, Brooklyn, NY. For Respondent Tom Ishak, appeared Allan N. Taffet, Esq., of the law firm, Paradise & Alberts, L.L.P., New York, NY. Respondent State Capital Markets Corp. did not respond to the Statement of Claim. DATE FILED: Dece

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Byron Hartman Case No. 01-01390 TD Waterhouse Investor Services, Inc.; and David B. Slusarski Hearing Site.- Milwaukee, Wisconsin OF PAKTTFS Claimant Byron Hartman ("Hartman") was represented by Doug Hartman of New Berlin, Wisconsin. Respondents TD Waterhouse Investor Services, Inc. ('TD Waterhouse") and David B. Slusarski ("Slukarski")* her

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard D. Dugan 96-05519 Name of Respondents J.S. Securities, Inc. Jeffrey Stephen Szur REPRESENTATION Claimant Richard D. Dugan ("Claimant") was represented by Louis J. Sinatra, Esq. and James C. Shah, Esq., Pelino & Lentz, Philadelphia, PA. Respondents Jeffrey S. Szur ("Szur") and J.S. Securities, Inc. ("JS Secur

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Paul A. Paradise 96-05516 Name of Respondents Comprehensive Capitol Corp. Elizabeth A. Kenney REPRESENTATION Claimant Paul A. Paradise ("Claimant") was represented by Paula D. Shaffner, Esq., Saul, Ewing, Remick & Saul, Philadelphia, PA. Respondent Comprehensive Capitol Corp. ("CCC") was represen

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Jeffrey Kraft, Claimant, and No. 96-05513 Bear Stearns & Co. Inc. and Craig Klinger, Respondents. REPRESENTATION OF PARTIES Claimant Jeffrey Kraft, ("Kraft") was represented by Jonathan W. Evans, Esq. of Jonathan W.-Evans'. & Associates, located inLos Angeles, Ca. .^i^,^ Respondents Bear Stearns & Co. Inc., ("Bear Stearns") and Craig Klinger, ("

r - NASD REOULATIpN. AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Peter Paul Mattejat • • - • • • ------- ....... 96-05498 Name of Respondent Mario DePinto REPRESENTATION Claimant Peter Paul Mattejat ("Claimant") represented himself. Respondent Mario DePinto ("Respondent") was represented by Jenice Maledri of the law firm of Singer Zamansfcy

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05496 Securities of Westchester, claimant v. Audrey Lombardo, respondent. ATTORNEYS: For Claimant Appeared Michael G. Shannon, Esq. - New York, NY. Respondent did not appear. DATE FILED: 12/11/96. CASE SUMMARY: Claimant alleged shares purchased from respondent had been previously sold or reported lost. Claim Data Claim: $3,326.92 Interest