AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert E. Mundy and Case Number 96-00566 Name of Respondent Financial Network Investment Corporation REPRESENTATION OF PARTIES Robert E. Mundy ("Claimant") was represented by Waldine H. Olson, Esq. of Schmid, Mooney & Frederick, P.C. located in Omaha, NE. Financial Network Investment Corporation ("Respondent") was repre

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Randy Goben and Katherine Goben, Claimants, and No. 96-00565 Sterling Foster & Company Incorporated, Clayton Sontag, Jason Deblin, and Mario Rodriguez, Respondents. REPRESENTATION OF PARTOES Claimants, Randy Goben and Katherine Goben, were represented by Kurt A. Harper, Esquire of Sherwood & Harper, Attorneys at Law, located in Wichita, Kansas.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rudolph & Nelly Anderson 96-00551 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Norman J. Marcotte CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1996, Claimants Rudolph and Nelly Anderson ("Claimants"), who appeared Pro Se, alleged that Respondent Merrill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stanford and Judy Cohen 96-00549 Name of Respondents Smith Barney Inc, Steven Mallah CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1996, Claimants Stanford and Judy Cohen ("Claimants"), through their representative and counsel, Donald T. Norton, Esq., alleged that Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elias Schonberger, Estate of Lois Schonberger, Schoolhouse 1891 Associates, and Schonberger Family Partnership (Claimants) v. Chase Investment Services Corp. and Malcolm Elliott Katt (Respondents) Case Number: 00-05387 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Elias Schonberger ("E. Scho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Claimant Rose T. Walleze Trust 96-00543 Name of Respondents Dean Witter Reynolds Inc. Edward D, Goddard REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, Florida. For Respondents: Debra A. Roth, Esq., in-house counsel at Dean Witter Reynolds, Inc. ("Dean Witter"). CASE INFORMATION Stateme

NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION AWARD NASD REGULATION. INC. OFFICE OF D1SPTTTE RESOLUTION In the matter of the Arbitration Between Name of Claimants S. Charles Dwyer NASD Regulation, Inc. v. Office of Dispute Resolution Arbitration No.96-00541 Name of Respondents Bear Stearns & Co., Inc. and Robert R. Susnar REPRESENTATION For Claimant: William F. Davis, Esq. 5 - Law Office of William F. Davis Pacific Palis

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Jean Bucchianeri 96-00540 Name of Respondent Georgeanna Fischetti; Dominick Joseph Vetrano REPRESENTATION For Claimant: Jean Bucchianeri ("Bucchianeri") appeared pro se. For Respondent: Georgeanna Fischetti ("Fischetti") and Dominick Joseph Vetrano ("Vetrano") were represented by Christopher J. Barber, Esq. of U

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harriet Wishnick and No. 96-00537 Name of Respondents Prudential Securities, Inc. and Anne Lane Davidson REPRESENTATION OF PARTIES Harriet Wishnick ("Claimant") was represented by Robert Tobey, Esq. of Johnston & Budner located in Dallas, Texas. Prudential Securities, Inc. and Anne Lane Davidson ("Respondents") were represented

AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Evangeline M. Andersen a.k.a. ANN v. * - Arbitration No. 96-00535 Name of Respondents Smith Barney Inc., Ted Kenney, Jacqueline Berkaw, Dan Breen, and Pacific Asset Group, Inc, REPRESENTATION For Claimant: Nancy B. Duffy, Esq. Law Office of Nancy B. Duffy Santa Barbara, California For Respondents Smith Barney