NASDR AWARD NASDR. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John Mark Jacobsen NASDR Arbitration #96-03351 vs. Name of Respondents) Maidstone Financial, Inc. Paul Metz REPRESENTATION For Claimant: John Mark Jacobsen, San Diego, California For Respondents: Debra M. Snyder, Esq., Maidstone Financial, Inc., New York, New York CASE INFORMATION Statement of Claim filed: August 5,

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Rickel & Associates, Inc. 96-03350 Name of Respondent Peter Foley REPRESENTATION For claimant Rickel & Associates ("claimant") appeared Peter Seiden, Esq. of the iaw firm of Schneck, Weltman, Hashmall & Mischel III*, located in New York, New York. k, Respondent Peter Foley ("respondent") appeared pro se. h CASE INFORMATION Statement of Claim was filed on August 5, 1996. Claiman

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Karen Rossi, Claimant, and No. 96-03344 PaineWebber, Inc., and Todd W. AcufF, Respondents. REPRESENTATION OF PARTIES Claimant, Karen Rossi, was represented by Jane L. Stafford, Esquire of Spencer, Fane, Britt & Browne LLP, located in Kansas City, Missouri. Respondents, PaineWebber, Inc. and Todd W. Acuff, were represented by Richard B. Walsh, Es

W NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Philip A. Goldstein 96-03342 Name of Respondent Prudential Securities Inc. REPRESENTATION Claimant Philip A. Goldstein ("Claimant") was represented by Walter L, Baumgardner, Esq., Musilli, Baumgardner, Wagner & Parnell, St. Clair Shores, ML Respondent Prudential Securities, Inc. ("Respondent") was represented by Richa

AWARD / NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John Jonen and 96-03341 Name of Respondent LaJolla Corporation Robin Rushing Peter D. Ragofsky REPRESENTATION OF PARTIES John Jonen ("Claimant") was represented by Nathan D. Simmons, Esq., Jones & Keller, P.C., Denver, Colorado. LaJolla Corporation ("Respondent LaJolla") and Robin Rushing ("Respondent Rushing") were

MAR.25.1998 li:56flM NRSD REGULATION FL NO.791 - p. 3x9 NASD REGULATION, INC, AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James Cassettari Case No, 96-03338 Names of Respondents S.D. Conn and Co., Inc. Bernard Musmand REPRESENTATION OF PARTIES Claimant James Cassettari appeared pjo gg. For Respondent Bernard Musmand (Musmand); Gary Miller, Esq. of the law firm of Stein, Rosenberg & Win

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants) David K. Stern and Julie Stern v. Name of Respondents) Lew Lieberbaum & Co., Inc. and Joseph Duarte NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-03335 REPRESENTATION For Claimants: For Respondents: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, CA Chase

Award NASD Dispute Resolution In the Matter of the Arbitration Between: < 7]flinjflftfjg Pflgp NlTTflbfT' 00-05148 Jon C. Gambold, Individually and as Trustee of The Gambold Family Trust, Trust A, M, & B and As Heir to the Estate of Robert Gambold; Marjorie Gambold, Individually and as Trustee of The Gambold Family Trust, Trust A, M, & B and As Heir to the Estate of Robert Gambold; and Leila Newton, Individually and As Heir to the Estate of R

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Gary Clemens Bonnie Clemens Arbitration No. 96-03330 Name of Respondents Titan/Value Equities Group, Inc. Greg P. Bourbeau REPRESENTATION OF PARTIES For Claimants: Jerome Sapiro, Jr., Esq., The Sapiro Law Firm, San Francisco, California. For Respondents: G. Thomas Fleming III, Esq., Jones, Bell, Simp

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Book and 96-03328 Name of Respondent Smith Barney, Inc. REPRESENTATION OF PARTIES William Book ("Claimant") was represented by Mark A. Levine, Esq., Minneapolis, Minnesota. Smith Barney, Inc. ("Respondent Smith Barney") and an individual Respondent were represented by Christopher B. O'Malley, Esq., Smith Barney, Inc., Ne