JUN.22.1998 10:35RM NfiSD REGULATION TL NO.220 P.19 N.A.S.D. STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of ^^Arbitration Donald W. Knaner 96-03204 PaineWebber, Inc. Paul Oilman REPRESENTATION For Claimant Donald Knauer ("Knauer"): Albert ftapoport, Esq., Boca Raton, Florida. For Respondents Painewebber, Inc. ("PaineWebber") and Paul Oilman ("Oilman"): Lisa Catalano Tillem, Esq. of PaineWebber, Inc., Wee

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John Schley 96-03201 Name of Respondents Robert M. Grinberg La Jolla Capital Corporation REPRESENTATION For Claimant, John Schley ("Claimant"), appeared Jane Barton, Esq. of the law firm Reboul, MacMurray, Hewitt, et al. For Respondent, Robert M. Grinberg ("Grinberg"), appeared William Ryder located in New York, New York. For Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Worthington Venture Fund, Inc., Claimant Vs. Public Securities, Inc., Respondent. Case Number: 00-05142 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant Worthington Venture Fund, Inc. ("Worthington"), hereinafter referred to as "Claimant," was represented by Phillip L. Harmon, Esquire, Worthington, Ohio. Respondent/Counterclaimant Public Secu

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Calavetta, (Claimant) vs. Dickinson & Co., (Respondent) Case Number: 96-03199 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert Calavetta, hereinafter referred to as "Claimant" appeared pro se. Respondent, Dickinson & Co., hereinafter referred to as "Respondent": Barbara Bennett, Vice President, Dickinson & Co., Des Moines, Iowa. CASE INFORMATION

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, 96-03192 In the Matter of the Arbitration Between Name of Claimant Keticon S. Kurland Name qf a ResP9ndent J. C. Bradford & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 25, 1996 Claimant Kenton S. Kuriand ("claimant"), who appeared Pro Se, alleged that he contacted respondent I,C. Bradford & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gerald Sherwin 96-03191 Name of Respondents J.B. Oxford & Company Ali Aboukinane Julian Guilarte Richard A. Wright, H Jose M. Abadin Shane Khubchandani REPRESENTATION For Claimant: Stephen Murphy, Esq., of the law firm of Pino & Dicks, P.A., Longwood, FL. For Respondents: Cynthia M. Schleindl, Esq., of the law f

NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Albert Adley, Extr/Est. Emily Rothschild 96-03190 Name of Respondents Dean Witter Reynolds Inc. Sheldon Kramer REPRESENTATION For Claimant Albert Adley, Extr/Est. Emily Rothschild ("Claimant"): Albert Adley, Executor. For Respondents Dean Witter Reynolds Inc. ("Dean Witter") and Sheldon Kramer ("Kramer"): Mihal

FEB. 1.1999 li:20flM NO.295 P.12 NASD AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael Newman 96-03187 Name__of_ResDondant Dean Witter Reynolds, Inc. REPRESENTATION For Claimant Michael Newman ("Newman"): Ronald Shindler, Esq. of Fowler White Burnett Hurley Banick, Miami, Florida. For Respondent Dean Witter Reynolds, Inc. ("DWR"): Bradford D. Kaofinan, Esq. of Ste

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keith Patrick Ligori 96-03186 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc Andrew P. Edelmann REPRESENTATION For Claimant: Steven G. Wenzel, Esq. of the law film of Gonzalez and Wenzel, Tampa, Florida. For Respondents: Bennett Falk, Esq. of the law firm of Morgan, Lewis & Bockius, LLP, Miami, Florida.

NASD REGULATION AWARD In the Matter of the Arbitration Between NanjeofClaHnant William W, Stafford 96-03184 Gnmtal & Co., Inc. Arlene %zem Claimant William W. Stafford ("claimant 11 ) appeared pro se. For respondents Gruntal & Co. , Inc, ("Gnintal") and Artene Bezetn ("Bezem 11 ) appeared Donald N, Cohen, Esq., Assistant General Counsel for Gnintal & Co., Inc. ; CASE INFORMATION Statement of Claim was fifed on July 23, 1996.