BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: AA Lighting and Electrical, Inc. Claimant, v. The Trading Desk, Inc. and Joseph R. Earle Respondents No. 96-00224 ARBITRATION AWARD The Parties The Claimant in this matter is AA Lighting and Electrical, Inc. (hereinafter referred to as "Claimant"), a corporation with its principal place of business located in San Jose, California. All of t

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Priscilla Welch and David Welch and 96-00213 Name of Respondent Stifel Nicolaus & Co., Inc. Arnold Hart REPRESENTATION OF PARTIES Priscilla Welch and David Welch ("Claimants") were represented by Paul G. Bursiek, Esq., Pendleton, Friedberg, Wilson, Hennessey & Meyer, P.C., Denver, Colorado. Stifel Nicolaus & Co., Inc. ("Resp

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Howard Lorch and Case Number 96-00207 Name of Respondent Clay Border REPRESENTATION OF PARTIES Howard Lorch ("Claimant") was represented by Timothy McDaniel, Esq. of McDaniel & Allen located in Houston, TX. Clay Border ("Respondent") was represented by Jack D. Ballard, Esq. of Andrews & Kurth located in Houston, TX.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ameritrade, Inc. Case No. 00-05341 Name of Respondent Shawn Majd Hearing Site: Washington, DC REPRESENTATION OF PARTIES Claimant, Ameritrade, Inc. ("Claimant"): James J. Vihstandt, Esq., Ameritrade, Inc., Bellevue, NE. Respondent, Shawn Madj ("Respondent") did not appear at the hearing. CASE INFORMATION Statement of Claim filed on: Novem

t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna B. Vaughan 96-00200 Name of Respondents Dean Witter Reynolds Inc. Louis Bouchard CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1996, Claimant Donna B. Vaughan ("Claimant"), through her representative, John P. Hannan, CLU, CHFC, CFP, of the Young Agency, In

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Michael A. and Patricia J. Russoniello 96-00187 Name of Respondents Cadaret Grant & Co. f/k/a BNL Securities Luther Engler REPRESENTATION Claimants Michael and Patricia Russoniello ("Claimants") were represented by Thomas J. Romans, Esq., Hackensack, NJ. Respondents Luther Engler ("Engler"), BNL Secur

OCT. 5.199S g:34FH1 NfiSD REGULPTIQN FL NO.592 P.21 NASD REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joseph N. & M. Lynn McDonough 96-00177 Names of Respondents Kensington Wells, Inc. Abraham Mirman Ellas Tacher Salvatore Tacher Adam Levy Roy Eltennan Steven Vornea Marc Alan Luxeflberg REPRESENTATION For Claimants; Jeffrey Plotki

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph J. and Joseph P. Colosimo Joseph and Michael Colosimo Joseph Colosimo and Anne Marie Laktash Joseph J. Colosimo 96-00173 Name of Respondents Edward D. Jones & Co. Roy W. Kern CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1996, Claimant Joseph J. Colosi

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mala Nahata and 00-05340 Southfield, Michigan TD Waterhouse Investment Services, Inc. REPRES^NTAHON_£)F PARTIES Mala Nahata ("Claimant") was represented by Roger R. Rathi, Esq., Law Offices of Roger Rathi, P.C., Bingham Farms, Michigan, and Waller L. Goldsmith, Esq., DKW Law Group, Southfield, Michigan. TD Waterhouse Investment Services, Inc. ("Respondent") was repr

NASDR AWARD NASDR. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Charles B. Torrence NASDR Arbitration #96-00160 vs. Name of Respondent^) Dean Witter Reynolds, Inc. John A. DiFiore, n REPRESENTATION For Claimant: Lynn R. Shoen, Esq., Las Vegas, Nevada For Respondent Dean Witter Reynolds: Timm A. VerDuin, Esq., Dean Witter Reynolds, Inc., San Francisco, California For Respondent J