N.A.S.D. REGULATION AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Kern Gregory Rodeberg 96-00479 Name of Respondents Stratton Oakmont, Inc. (Bankrupt) Richard Arthur Miller Robert William Koch, H Daniel Mark Porush REPRESENTATION For claimant Kern Gregory Rodeberg ("claimant") appeared Mary K, Rodeberg, Esq. located in Atlanta, Georgia. Respondent Stratton Oakmont, Inc. ("Stratton") filed a bankruptcy petition

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 96-00465 Name of Respondent Hector Durant. II CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1996, claimant GKN Securities Coip. ("claimant"), who appeared through its representative and in- house counsel, Katharine Nathan, Esq., alleged that responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 96-00456 Name of Respondent Flying Diamond Enterprises, Inc. M/P Pen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1996, Claimant Prudential Securities, Inc. ("Claimant"), through its representative, Linda A. Gallagher, Esq., of the law firm of

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Maxwell Kaplan and Patricia Kaplan v. Name of Respondents Monterey Bay Securities, Inc., Robert Blanchard, Kenneth Doolittle, Walter Hickey, and Mitchell Brater NASD Regulation, Inc. Arbitration No. 96-00454 REPRESENTATION For Claimants: For Respondents Monterey Bay Securities, Inc. and Kenneth Doolittle:

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Frederick Mengarelli Claimant NASD Regulation., Inc. v. No. 96-00449 Merrill Lynch Pierce Fenner & Smith, Inc. Roger P. Gugger Respondents REPRESENTATION OF PARTIES Frederick Mengarelli ("Claimant") was represented by Arthur S. Leider, Investors Arbitration Specialist, San Diego, California. Merrill Lynch Pierce Fenner & Smith, Inc. an

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant First Albany Corporation --»-**— Case No. vs. 96-00441 Name of Respondent Michael T. McKeough REPRESENTATION For Claimant, First Albany Corporation ("Claimant 11 ), Arthur F. Dicker, Esq., located in Delmar, New York. Respondent, Michael T. McKeough ("Respondent"), was not represented by counsel at the hearing but appeared pro se and is loca

tfPR.21.1998 g:27Ah HflSD REGULflTION FL NO. 588 P. 12 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sara Bas Chapero Case #96-00436 Names of Respondents RD Capital Group, Inc. Ramon L. Dominguez REPRESENTATION For Claimant Sara Bas Chapero ("Bas"); Harold D. Vicente, Esq. of Vicente de Cuebas, Hato Rey, Puerto Rico. For Respondents K,D. Capital Group, Inc. ("RD Capital") and R

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between The Ohio Company, Inc. Claimant, v. No. 96-00432 David P. Cavanagh Respondent. REPRESENTATION OF PARTIES Claimant The Ohio Company, Inc. ("Claimant") was represented by Marion H. Little, Jr., Esq. of Zeiger & Carpenter located in Columbus, Ohio. Respondent David P. Cavanagh ("Respondent") was represented by S. Thomas Wienner, Esq. of Feeney

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Jackson Roofing & Gutters Inc Pension Plan & Trust Jackson Roofing & Gutters Inc Profit Sharing Plan & Trust Claudia K. & John C.L. Jackson 96-00427 hfome of Respondents Kemper Securities, Inc. Thomas Gillen REPRESENTATION _M- «_"*• •— ^^^^^^•flMeSMMB^^^^^^^^^MHK ^ _ For claimants Jackson Roofing & Gutters, Inc. Pension Plan & Trust ("Pension Plan"), Jackson

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Dean N. Delis Monique L. Delis v. Arbitration No. 96-00423 Name of Respondent^ Dakin Securities, Inc. Jeffrey P. Gradinger REPRESENTATION For Claimants: Steven M. Sherman, Esq. San Francisco, California For Respondents: Anthony M. Englese, Esq. San Francisco, California CASE INFORMATION Statement of C