N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS to the Matter of the Arbitration Between Name of Claimant^ Kazem Mahdavt 96-04035 Name of Respondents) Mea Melberg Marine Midland Securities Inc. REPRESENTATION For Claimant, Kazem Mahdavi, appeared Anthony J. Horn, Esq., located in Philadelphia, Pennsylvania. For Respondents, Marine Midland Securities, Inc. ("Marine Midland Securities") and Mea Melberg ("Melberg") (collectively t

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Richard Emery, Mark Benda and Russell Benda, Claimants. v. Case Number 96-04034 Cohig & Associates, Incorporated, Respondent. OF PARTIES Richard Emery, Mark Benda and Russell Benda ("Claimants") were represented by John D, Hudson, Esquire of The Rosenberg Law Firm in Des Moines, Iowa. Cohig & Associates, Inc. ("Respondent") was represen

f \ N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04033 Constance D. Dulin, claimant v. Wilmington Brokerage Services Co., respondents. ATTORNEYS: Claimant appeared Pro Se., Lewes, DE For Respondents Matthew J. Lynch, Jr., Esq., North Wilmington, DE DATE FILED: 9/10/96 CASE SUMMARY: Claimant alleged failure to pay commissions. Claim Data Award Data Claim: $2,873.00 plus interest at Awa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Kavanagh, (Claimant) vs. Montrose Capital Management, Ltd., David Jacaruso, Joseph Scotti, and Robert Winston, (Respondents) Case Number: 00-05194 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael Kavanagh, hereinafter referred to as "Claimant": Jonathan C. Thau, Esq., Luboja & Thau, LLP, New York, NY. Respondents, Montrose Capital Manage

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant The San Francisco Company v. Name of Respondent Everen Securities Arbitration No. 96-04032 For Claimant: For Respondent: Statement of Claim tiled: REPRESENTATION Martin L. Marcus The San Francisco Company Los Angeles. California Renan Sugarman, Esq. Everen Securities Chicago. Illinois CASE IN

AWARD NASD REGULATION, OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Ely Enterprises v. NASD Regulation, Inc. Arbitration No. 96-04031 Name of Respondents Merrill Lynch Pierce, Fenner & Smith REPRESENTATION For Claimant: Henry Steelman, Esq. Law Offices of Henry Steelman Encino, California For Respondents: John K. Shannon Merrill Lynch Pierce, Fenner & Smith, Inc. New York, New

Or? '^,,• f AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Gina M. Lombardi and Mark Mathias, Co-TTEE's for the Gina Marie Lombardi and Mark Russell Mathias Trust and Arbitration No. 96-04029 Name of Respondents Coast Financial Securities, Inc. Gerald H. Klein Klein Pavlis Financial, Inc. REPRESENTATION OF PARTIES Claimants were represented by Arthur Lei

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Assadullah M. Syed and Ataullah M. Syed v. • Arbitration No. 96-04026 Name of Respondents U.S. Securities and Futures Corp., Nasim Khan, John O. Hing, Elizabeth Bosco and Oppenheimer & Co., Inc. REPRESENTATION For Claimants: Robert A. Uhl, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: Fred S. Konigsb

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Adam H. Pawlikiewicz and 96-04024 Name of Respondent Josephthal, Lyon & Ross, Inc. Thomas J. Moeller REPRESENTATION OF PARTIES Adam H. Pawlikiewicz ("Claimant") appeared pro se. Josephthal, Lyon & Ross, Inc. ("Respondent JLR") and Thomas J. Moeller ("Respondent Moeller") were represented by Robert E. Murphy, Esq., Josephthal

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James N. and Barbara B. Galbraith 96-03329 96-04015 96-04016 Name of Respondent 96-04017 Nationwide Securities Corporation CASE SUMMARY In cases filed with the National Association of Securities Dealers Regulation, Inc. on September 4 and 9. 1996, claimants James and Barbara Galbraith ("claimants") who appeared