AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert B. Meyer, and Nancy L. Meyer, Claimants, vs. 96-00709 PaineWebber, Inc., Richard Manley, and N. Glenn Whittington, Respondents REPRESENTATION OF PARTIES Robert B. Meyer, and Nancy L. Meyer ("Claimants") appeared on their own behalf Respondent Richard Manley ("Manley") was represented by Ben L. Krage, Esq., of Kasmir & Krage, L

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of Arbitration Between Leilani J. Witt, Claimant, and Birkelbach Investment Securities, Inc. and Frank Miya, Respondents. In the Matter of Arbitration Between Birkelbach Investment Securities. Inc., Claimant, and Leilani Witt and Peter Dau, Respondents. No. 96-00708 Consolidated with: No. 96-01186 REPRESENTATION OF PARTIES Case Number 96-00

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert J Alldredge, Claimant, and No. 96-00705 Norcross Securities, Inc., Respondent, REPRESENTATION OF PARTIES Claimant Robert J. Alldredge was represented by Robert J, Cruse, Esquire of Cruse, Firetag & Bock, P.C. located in Phoenix, Arizona, Respondent Norcross Securities, Inc. was represented by Paul J. Roshka, Jr., Esquire of Roshka Hey

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Lavern Augustine, and Therese Augustine, Claimants, No. 96-00704 OLDE Discount Corporation, and James T Monaco, Jr., Respondents REPRESENTATION OF PARTIES Lavern Augustine and Therese Augustine ("Claimants") were represented by Robert B. Van Cleave. Esq., Overland Park, Kansas OLDE Discount Corporation ("OLDE"X and James T, Monaco, Jr. (

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mark Triffler, as Trustee of the Mark Triffler Oldsmobile Profit Sharing Plan; Mark Triffler; Robert Langendorf Claimants No. 96-00702 LaSalle Street Securities, Inc.; Darrell M. Pepple Respondents REPRESENTATION OF PARTIES For Claimants: Mark Triffler, as Trustee of the Mark Triffler Oldsmobile Profit Sharing Plan (the "Plan"), Mark

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the .Arbitration Between John Siragusa, Claimant, and No, 96-00700 Robert Smith, and Tom Niemczyk, Respondents. REPRESENTATION OF PARTIES Claimant John Siragusa ("Claimant") appeared pro se. Respondents Robert Smith ("Smith") and Tom Niemczyk ("Niemczyk") (hereinafter collectively referred to as "Respondents") did not appear at the hearing and were unrepresented. Respo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Raymond Nisi IkHnenick F. D* Angelica Mario h Abaii Philip Darrigo Armando Battista Case No. vs. 96-00697 Maine of Respondents A.S. Goldmen & Company, inc. Robert Fox Christopher Panza Anthony J. Marchiano Stuart E. Winkier Steven Kaplan Salvatoie Ntachiano Kemper Clewing Corp. For Claimants Raymond Nisi ("Nisi"), DomenicLt F. D'AngeJ

I Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Joseph G. Rogillio and Bertha M. Rogillio as Trustees of the Joseph G. Rogillio and Bertha M. Rogillio Revocable Trust dated March 5, 1991 Case No. 01-01145 Names of Respondents William Hennion William W. Walsh Nori, Hennion, Walsh, Inc. Name of Third Party Respondent Michael J. Metzger Hearing Site: New Orleans, LA REPRE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Calvin W. Roberts 96-00695 Name of Respondent LaJoIla Capital Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1996, Claimant Calvin W Roberts ("Claimant"), who appeared Pro Se. alleged that Respondent LaJolla Capital Corp. ("Respondent") failed to inform him that Ima

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Benjamin and Mary Oswalt Trust 96-00687 Prudential Securities Incorporated; William E. Laheta REPRESENTATION For Claimants; The Benjamin and Mary Oswalt Trust ("Oswalt") was represented by James J. Eccleston, Esq. of Uscian & Eccleston, located in Chicago, Illinois. For Respondents; Prudential Securities Incorporated ("Prudent