NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Milton & Leah Nevitt Richard & Barbara Rudolph Barbara Rudolph c/f Jared Rudolph Barbara Rudolph c/f Marissa Rudolph 96-00378 Name of Respondents Russo Securities Smith Barney Shearson, Inc. J.J. Morgan & Company Gilford Securities, Inc. Joseph M. Blumenthal REPRESENTATION For Claimants Milton & Leah Nevitt (the "Nevitts"), Richard & Ba

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Mark P. Marshall, Claimant, and No. 96-00376 Texas Capital Securities Inc. David Frederick Bahr, Thomas Buckley, Patrick Smetek, Don Katz, Nancy Martin, Jeff Loth, Lawrence L. Kohler Respondent. REPRESENTATION OF PARTIES Claimant Mark P. Marshall was represented by John E. Dees, Jr., Esquire of Dallas, Texas. Respondent David Frederick Bahr

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Steven L. Sillyman, and Marcia A. Sillyman, Claimants, vs. No. 96-00372 Charles Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimants Steven L. Sillyman and Marcia A. Sillyman ("Claimants") were represented by Rosemary J. Shockman, Esq. and JohnN. McKeegan, Esq., of Shockman & McKeegan, Scottsdale, Arizona. Respondent Charles S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James B. & Marlene McCullough Bedros Bakirtzian Solomon & Flor Melgen Darwin Ting & Kuei Mei Hsieh 96-00370 Name of Respondents Josephthal Lyon & Ross Inc. Donald Wayne Mich! in REPRESENTATION For Claimants: Michael F. Bachner, Esq. of Bachner & Gehn, New York, NY. For Respondent Josephthal Lyon & Ross, Inc. ("Jose

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Antoinette C. Liguori & Robert Liguori 9640353 Name of Respondents M. Rimson & Co. Inc. Al Shindman Larry Stryker Paul Gorr REPRESENTATION Clainiaflt^Antpm^tte C. arid Robert Liguori ("Claimants") appeared at the'hearing pro se. Respondent Paul Gorr ("Gorr") appeared at the hearing pro se. Res

NASD Reulation. .In In the matter of the Arbitration Between Name of Claimant (si William W. Kidwiler Arbitration No. 96-00347 Name of fiegpondent Everen Securities, Inc. Kernper Securities, Inc. William L. Taylor REPRESENTATION For Claimant: Roger D. Mellem, Esq., Foster Pepper & Shefelman, Seattle, Washington For Respondents: Fredrick D. Huebner, Esq., Cable, Langenbach, Kinerk, Bauer & Leshner, LLP, Seattle, Washington CAS

AWARD NASD REGULATION, INC,, OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Oriental Blossom Ltd. Arbitration No. 96-00342 Name of Respondent(s Ira Feintuch REPRESENTATION For Claimant: Dicken Yung, Eugene, Oregon For Respondent: Ira Feintuch, Engelwood, New Jersey CASE INFORMATION Statement of Claim filed: January 23, 1996 Claimant's Submission Agreement signed: January 19, 1996 Sta

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Adelaide Oglesbee Helen Tiedemann Helen & Peter Ciolino 96-00340 Name of Respondents Island Securities, Inc. Frank Duca John Lee Jonathan E.S. Bekhor Jan Joseph Jusko REPRESENTATION For Claimants Adelaide Oglesbee ("Oglesbee"), Helen Tiedemann ("Tiedemann"), and Helen and Peter Ciolino (the "Ciolinos

Award NASD In the Matter of the Arbitration Between: Names of the Claimanls Case Number: 00-05348 Randal] E. Smith Linda M. Smith Names of ihe Respondents Hearing Sile: Atlanta, Georgia GBI Capital Partners f/k/a Gajnes Berland, Inc. Michael Crow Tom Tronolone REPRESENTATION OF PARTIES For Randall E. Smith and Linda M. Smith, hereinafter collectively referred to as "Claimants": Stuart S. Gordan, Esq. and Steven M. Jampol, Esq., Robin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald M. Legg 96-00328 Name of Respondents Wheat, First Securities, Inc. f/k/a Wheat First Butcher Singer Joseph W. McCarthy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1996, Claimant Donald M. Legg ("Claimant"), who appeared Pro Se, alleged that Respondent Wheat, Firs