AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Shuang long, Claimant, v. Case Number 96-03856 Bonnie Vandenberg, and Robert William Koch, II, Respondents. REPRESENTATION OF PARTIES Claimant Shuang Tong ("Claimant") appeared pro se. Respondent Bonnie Vandenberg ("Vandenberg") was represented by Martin P. Unger, Esq. of Tenzer Greenblatt, LLP located in New York, New York. Respondent Vande

NASD Regulation, Inc., Award In the Matter of Arbitration Between Arthur W. Cooper, Jr., Claimant, and No. 96-03845 Investors Associates, Inc., and Colcman Flaherty, Respondents. REPRESENTATION OF PARTIES Claimant, Arthur W. Cooper, Jr., ("Cooper") represented himself during these proceedings. Respondents, Investors Associates, Inc., ("Investors Associates") and Coleman Flaherty ("Flaherty") were represented by M. David Sayid, Esq., of S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant MAMS Fund 96-03844 Name of Respondent Berlind Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 30, 1996, claimant MAMS Fund a partnership, through its General Partner Kenneth Stein ("claimant"), alleged that on July 1, 1996 he gave Harv

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Susan Saper and Julian Saper and NASD Case Number 96- 3842 Name of Respondent Dean Witter Reynolds, Inc. CASE INFORMATION Claimants Susan Saper and Julian Saper ("Sapers") filed the Statement of Claim on or about August 26, 1996. Claimants filed a rebuttal to Respondent's Statement of Answer of or about October 24, 1996. Cla

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Edward John Mitiu, Claimant, and No. 96-03836 Dickinson & Co.; John Colias; and Jeff Heider, Respondents. REPRESENTATION OF PARTIES For Claimant: Edward John Mitiu ("Mitiu") appeared pro se. For Respondents: Dickinson & Co. ("Dickinson"), John Colias ("Colias"), and Jeff Heider ("Heider") (hereinafter collectively referred to as "Respondents") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant \ Linda Matsumoto 96-03831 Name of Respondents Crowell, Weedon & Co. Tsutomu Uchida CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 28, 1996, Claimant Linda Matsumoto ("Claimant"), through her representative and counsel David Bortman, Esq., a solo practitioner

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation 96-03830 Name of Respondent Engelbertus J. Mens ink REPRESENTATION For Claimant, Paragon Capital Corporation ("Claimant"), appeared Jordan D. Becker, Esq., of Smith Campbell & Paduano, located in New York, New York. Respondent, Engelbertus J. Mensink ("Respondent"), appeared pro se. CASE INFORMATION Statement of Claim filed o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03829 Brian Clarke, claimant v. John Burkhardt, respondent. ATTORNEYS: Claimant appeared Pro Se,, Watertown, MA Respondent appeared Pro Se, Allentown, PA DATE FILED: 8/28/96 CASE SUMMARY: Claimant alleged failure to properly assess claimant's risk, unsuitable investment and failure to supervise. Claim Data Award Data Claim: $6,144.00 Award: $1,000.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John Rosso 96-03827 Name of Respondents Marie Blonder, James Cassidy, and William Cutrone REPRESENTATION For Claimant John Rosso ("Claimant") appeared David Zimmer, Attorney at Law, Greenwich, CT. Respondent Mark Blonder ("Blonder") did not respond or attend the hearing and was unrepresented. Respondent James Cassidy ("Cassidy") did not respond or atten

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chastain Family Trust, et al. v. Morley Securities, Inc. and Carl C. Roba Case Number: 00-05171 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Chastain Family Trust Thomas W. Mahoney Michael Huberman Micheal Huberman & Associates La Quinta, California Michael Huberman Micheal Huberman & Associates La Quinta,