Award NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between Marc S. Goldberg Case No. 00-05167 Samuel J. Augustine ng .Site- Philadelphia, PA Claimant, Marc S. Goldberg ("Goldberg"), hereinafter referred to .as "Claimant": Sol R Weiss, Esq., Anapol, Schwartz, Weiss, Cohan & Feldman, Philadelphia, PA. Respondent, Samuel J. Augustine ("Augustine"), hereinafter referred to as "Respondent": Jay A. Dubow, Esq., Wolf Block Schorr & So

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gordon Waite 96-03654 Name of Respondents A.G. Edwards & Sons, Inc. Jack L. Stapleton CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 23, 1996, claimant Gordon Waite ("claimant") through his representative and counsel Jeffrey P. Yashinsky, Esq., of the law firm Wei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ARBITRATION DEPARTMENT SHERMAN PLOTKIN and SELMA L. : PLOTKIN, : Claimants, : : NASD ARBITRATION v, : NO. 96-3653 WILLARD L. UMPHREY and U.S. BOSTON : CAPITAL CORPORATION, : Respondents. : STIPULATED AWARD In view of the fact that Claimants Sherman Plotkin and Selma L. Plotkin and Respondents Willard L. Umphrey and U.S. Boston Capital Corporation have reported to the NASD that they set

AWARD NASD REGULATION. IMC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Olawunmi Hassan Arbitration No. 96-03652 Name of Respondent(s! Taj Global Equities, Inc. Wilber Jurdine REPRESENTATION For Claimant: Olawunmi Hassan, San Jose, California For Respondents: Wilber Jurdine, Tampa, Florida CASE INFORMATION Statement of Claim filed on or about: July 8, 1996 Addendum to Statement o

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Stanley Levinson Cristina Hayes Arbitration No. 96-03649 and Name of Respondents Sutro & Company, Inc. Michael Axelrod REPRESENTATION OF PARTIES Stanley Levinson and Cristina Hayes ("Claimants") were represented by Arthur Leider, Investors Arbitration Specialists, Inc., San Diego, California. Sutro & Company, In

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between The Isherwood Trust C, by and through its Co-Trustee and Beneficiary Arlene Isherwood and Temporary Co-Trustee William Isherwood, Claimants, v. No. 96-03648 Michael L. Schrank, and Dain Bosworth Incorporated. Respondents. REPRESENTATION OF PARTIES Claimants The Isherwood Trust C, by and through its Co-Trustee and Beneficiary Arlene I

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mike S. Taylor and 96-03645 Name of Respondents Paul Cantatore, and PaineWebber, Inc. REPRESENTATION OF PARTIES Mike S. Taylor ("Claimant") was represented by Michael Salcido, Esq., Phoenix, Arizona. Paul Cantatore ("Respondent") was not represented and failed to appear or respond in this arbitration. PaineWebber Incorporated ("PaineWebber") was rep

SENT BY: 11-12-98 ; 8:23AM ;NASD ARBITRATION DPT- 12122Q85165;#ll/24 AWARD NASD RLGUf-ATTON. INC.. QglCL OF D1SPUTH RESOLUTION [n the matter of the Arbitration Between NajTieptCJaimarit/s) Thomas and Cherylann Summons s "-••.~- / v. Name of I'inancia) Network Investment Corporation John Bracketc Bruce Kassab For Claimants: REPRESENTATION Scot D. Bernstein, Esq. Sacramento, California For Respondents FN1C and J

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between "" Kamiesh Chopra, Claimant, v. Case No, 96-03633 Merrill, Lynch, Pierce, Fenner & Smith, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Kamiesh Chopra ("Claimant") was represented by Edward M. Olson, Esq. of Velarde, Sugameli & Olson, P.L.C. located in Troy, Michigan. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent

N.A.S J>. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03627 John Topp, claimant v. Emmett A. Larkin Company, Inc., Burnett. Grey & Co., Inc. , and LaJolla Capital Corporation, respondents. ATTORNEYS: Claimant appeared Pro Se - Tupelo, MS. For Respondent Emmett A. Larkin, Inc. appeared Melvin Peterson - San Francisco, CA. Respondent Burnett, Grey & Co., Inc. failed to appear. For LaJolla Capital Corporation a