N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Narnes _oj: Clajmantfi Steven and Eva Varga Ja&zay 96-00683 Names of Respondents Joel B. Deitch Northeast Brokerage Services Corp. REPftE^JTATION Claimants appeared pro gg, For Respondents; Stanley T. Padgett, Esq. of Morgan, Padgett & Mierzwinski, P. A., Tampa, Florida. CASE Statement of Claim filed: February 12, 1996. Amen

N,A.S.D. AWARD V NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Saleem H. Malik 96-00682 Name of Respondent Smith Barney Inc. Victor E. Lambert, III REPRESENTATION For claimant Saleem H. Malik ("claimant") appeared Sheldon Eisenberger, Esq. a sole practitioner located in New York City, New York. For respondents Smith Barney, Inc. ("SBS") and Victor E. Lambert, HI ("Lambert"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond lacobacci 96-00673 Name of Respondent Alex Lemberg REPRESENTATION Claimant Raymond lacobacci ("claimant") appeared pro se. Respondent Alex Lemberg ("respondent") did not enter an appearance in this matter. CASE INFORMATION Statement of Claim filed on February 27, 1996. Claimant's Submission Agreement signed on J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Armand Suffoletto 96-00671 Name of Respondent Dean Witter Revnolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1996, Claimant Armand Suffoletto ("Claimant'). who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. ("Dean Witter"), wrongly imposed a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard A. and I.ynallen Yehl 96-00670 Name of Respondents J.W. Gant and Associates, Inc. Vadim Mostovoy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1996, claimants Richard A. and Lynallen Yehl ("claimants"), through their representative and counsel Michael A. Yehl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 96-00665 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14 V 1996, Prudential Securities Inc. ("Claimant"), Through its representative and counsel, Steven P. Gomberg, Esq., Gomberg Kane & Fischer. Ltd., alleged that Respondent Seong Kyun Kim ("Resp

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jon Seibold and Name of Respondent Piper Jaffray. Inc. Bruce Barton 96-00659 REPRESENTATION OF PARTIES Jon Seibold ("Claimant") was represented by Kathleen K. Rauenhorst Esq., Rauenhorst & Associates, P.A., Rosevilk, Minnesota. Piper Jaffray, Inc. ("Respondent Piper") and Bruce Barron ("Respondent Barren") were repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of (he Arbitration Between ; i i n ) am Theresa Marchica, IRA 96-00657 Name of Respondent Feele\ & Wileox CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on February 13. 1996, Claimant Theresa Marchica ("Claimant"), who appeared Pro Se, alleged that Respondent Feeley & Wilcox ("Respondent") purchased an investment which was not in c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Koch, (Claimant) v. Salomon Smith Barney, Inc., and Edward Reyman, (Respondents) and Franz Koch, (Claimant) v. Salomon Smith Barney, Inc., and Edward Reyman, (Respondents) Case Number: 01-01141 (consolidated with 01-01143) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Michael Koch, ("Michael") and Franz Koch (Franz): Mark Chinitz, Esq., and Gerard

NASD RBGU NATION AWARD Michael L. and Tina M. Shore 96-00656 Name of Respondents Moe Rimson & Co.. Inc. Emmett Lark in & Co. Edward Veisman REPRESEXTATION For claimants Michael L. and Tina M. Shore ("claimants") appeared Michael L. Shore. Respondent M. Rimson & Co., inc. C'kiirtsoir:") did not enter an appearance in this matter. For respondent Emmett Larkin & Co, ("Emmett Larkin") appeared Melvin Peterson. Respondent Edward Veisman TVeisnian