N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jay Dorman 96-00271 Name of Respondent La Jolla Capital Corp. Image Marketing Group/First Entertainment, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 18, 1996, Claimant Jay Dorman ("Claimant"), who appeared Pro Se, alleged that Respondent La Jolla Capital Corp. ("La

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold and Lauren C, R< ^;:7.'.y 96-00262 Name of Respondents Fahnesrock & Co.. Inc. Peter Petronzi CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 18, 1996, Claimants Harold and Lauren C. Resnitzky ("Claimants"), who appeared Pro Se, alleged that Respondent Fahnestock & Co

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants JefTFriedson, Margareite Friedson, Robert Jacobson and Margaret Jacobson and Case Number 96-00258 Names of Respondents Sal Waisbrut, Securities Planners, Inc., Buttonwood Securities, Incorporated, and Canteila & Company REPRESENTATION OF PARTIES Claimants Jeff Friedson, Margareite Friedson, Robert Jaco

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Spender Edwards, Inc. NASD CASE NO. 96-00252 < Isnondenta Jeffrey Marc Applebaum and S & D Partnership For Claimant: Kristin K. Rasciner, Esq., in-house counsel for Spencer Edwards, Inc., Englewood, Colorado. For Respondents Jeffrey Marc Applebaum ("Applebaum") and S & D Partnership ("S & D"): Howard N. Kahn, Esq. of Kramer

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Laura Courson Edward Courson Claimants NASD Regulation, Inc. v. No. 96-00244 Foothill Securities, Inc. Donald C. Maxham Respondents REPRESENTATION OF PARTIES Laurel and Edward Courson ("Claimants") were represented by Laura Courson, pro se. Foothill Securities, Inc. and Donald C. Maxham ("Respondents") were represented by Antoinette

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward S. Lisinski 96-00239 Name of Respondents Joseph Roberts & Co., Inc. Michael Knight For Claimant Edward 8. Lisinski fLisinskT): L. Van StlHman, Esq., Boca Raton, Florida. For Respondents Joseph Roberts & Co., Inc. ("JRC") and Michael E Knight ("Knight"): Jeffrey S. Rosen. Esq. of the law firm of De Martino Finketetein Rose

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 96-00234 Name of Respondent Thomas C. Mason REPRESENTATION OF PARTIES For Claimant: Prudential Securities Incorporated was represented by Linda A. Gallagher, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. For Respondent: Thomas C. Mason appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Wallace J.L. Houde and Gwendolyn A. Houde NASD Arbitration v. No.96-00225 Name of Respondents J.B. Bogart and Associates and Bruce Bogart REPRESENTATION For Claimants: Richard Sacks Investors Recovery Service Novato, California For Respondents: J. Bruce Bogart J.B. Bogart and Associates Hermosa Beach, Cal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jess Huss vs. 96-00215 Name of Respondent Dean Witter Reynolds Inc. Darlene J. Palmer REPRESENTATION Claimant, Jess Huss appeared pro se. For Respondents, Dean Witter Reynolds, Inc. and Darlene J. Palmer, appeared Annemarie P. McAvoy, Esq. in-house counsel with Dean Witter Reynolds, Inc. CASE INFORMATION Statement o

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Sanford G. Powers Claimant NASD Regulation, Inc. v. No. 96-00212 Torrey Pines Securities, Inc. Frederick Marshall Kee Respondents REPRESENTATION OF PARTIES Sanford G. Powers ("Claimant") represented himself pro se. Torrey Pines Securities, Inc. ("Respondent") was represented by William F. Gunderson and Leonard J. Velis, Torrey Pines Se