N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald A. Alghini 96-00317 Name of Respondents The Chicago Corporation; John A. Wing REPRESENTATION For Claimant: Ronald A. Alghini ("Alghini") was represented by Peter J. Berman, Esq., of Peter J. Berman, Ltd., located in Chicago, Illinois. For Respondents: The Chicago Corporation ("TCC") and John A. Wing ("Wing") were rep

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Melvin Mogulof Mildred Mogulof Claimants v. NASD Regulation, Inc. No. 96-00314 Dean Witter Reynolds, Inc. Linda Poole Respondents REPRESENTATION OF PARTIES Melvin Mogulof and Mildred Mogulof ("Claimants") were represented by Melvin Moguiof pro se. Dean Witter Reynolds, Inc. and Linda Poole ("Respondents") were represented by We

In the Matter of the Arbitration Between New Milford Savings Bank, Claimant, -against- First Institutional Securities, L.L.C., Bert Gore, and Kevin Woelflein, Respondents. Case No. 96-00282 STIPULATED AWARD AND ORDER OF THE ARBITRATORS IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned parties to the captioned arbitration that WHEREAS on or about January 25, 1996, a Statement of Claim in the above captioned arbitratio

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants James M. Sarli, Erica Sarli, Jamie Sarli, Marvin Eisentrout, and George Bezushko and 00-00539 Scottsdale, Arizona Name of Respondents Merit Capital Associates, Inc. Wexford Clearing Services Corporation Matt Wolfgang Zink Robert Fitzpatrick Justine Rusin Hurrry REPRESENTATION OF PARTIES James M. Sarli, Erica Sarli, Jamie Sarli,

i * N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kroll Family Trust 96-00266 Name, of Respondents A.S.B. Financial Services Rick Trenholme CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 18, 1996, Claimant Kroll Family Trust ("Claimant"), who appeared Pro Se, alleged that Respondents A.S.B. Financial Services ("AS

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Bruce MacEwen 96-00261 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION For claimant Bruce MacEwen ("claimant") appeared Sonya Kaloyanides, Esq. of the law firm of McLaughlin & Stern, LLP. located in New York, New York. For respondent Dean Witter Reynolds Inc. ("respondent") appeared Vincent J. LaGreca, Esq., First Vice President and Assistant Genera

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Stein, Shore Securities, Inc. vs. Respondents/Counter-Claimants American Investment Services Inc.; Russell Wolter; Scott Garland: Scott Sprandel; Daniel Reyer; John Collins; William Ireland; and R. Scott Pozen NASD Arbitration No. 96-00249 REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Stein, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mearl R. Guthrie 96-00242 Name of Respondents Michael Sclafani Howard R. Knapp Lew Lieberbaum & Co. REPRESENTATION Claimant Mearl R. Guthrie ("claimant") appeared pro se. Claimant dismissed with prejudice all claims against respondent Michael Sclafani ("Sclafani") prior to the hearing. Therefore, no representative appea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Plafmantq A. M. Gregory Jr. and A. M. Gregory, HI Name of the r- 00-05345 Hearing Site- Charlotte, North Carolina Wachovia Securities, Inc., Samuel D. Turner, Sharon C. Bryant, and National Financial Services Corporation PPPRFSFMTATTON OF PARTIES Claimants A. M. Gregory Jr. and A. M. Gregory, HI, hereinafter collectively referred to as "Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bernard and Estelle Oliner 96-00229 Name of Respondent^ Kidder Peabody, Inc. Robert Chaiklin REPRESENTATION For Claimants Bernard and Estelle Oliner ("the Oliners"): David A. Coven, Esq. of the law office of David A. Coven, P. A., Ft, Lauderdale, FL. For Respondents Kidder Peabody, Inc. ("Kidder") and Robert Chaiklin ("Chaiklin"): George 6.