AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimant(si Richard F. Behnke Arbitration No. 96-03176 Name of Respondentfs) Windsor Reynolds Securities, Inc. REPRESENTATION For Claimant: Richard F. Behnke, Honolulu, Hawaii For Respondent: Marc Burton, Windsor Reynolds Securities, Inc., New York, New York CASK INFORMATION Statement of Claim filed: July 22, 1996 Claimant's Submission Agreement signe

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Michael and Dianna Feldman 96-03168 Name of Respondents J.B. Oxford & Company James Allen Atkinson REPRESENTATION Claimants, Michael and Dianna Feldman (the "Claimants"), appeared pro se. For Respondents, J.B. Oxford & Company ("Oxford") and James Allen Atkinson ("Atkinson"), (collectively the "Respondents") appeared Cynthia M. Schleind

Arbitration & Mediation National Association of Securities Dealers.Inc. * NASD Financial Center * 33 Whitehall Street* New York.NY 10004* Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Baron 96-03165 Name of Respondent Jim Hughes CASE SUMMARY In a claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Lerner Associates, Inc., (Claimant) vs. Bruce D. Brown and Prudential Securities Incorporated, (Respondents) Case Number: 00-05138 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant David Lerner Associates, Inc., hereinafter referred to as "Claimant": Michael G. Shannon, Esq., Brown Raysman Millstein Felder & Steiner LLP, New York, NY. (Mr. Shannon was wit

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Lucille Gidseg. Claimant, and No. 96-03154 Kidder, Peabody & Co., Inc. and Albert M. Krohn. Jr. Respondents, REPRESENTATION OF PARTIES Claimant, Lucille Gidseg, was represented by Rozanne Moore McKinney, Esquire of McKinncy & McKinney, P.C.. located in Fairfield, Texas. Respondents, Kidder. Peabody & Co.. Inc. and Albert M. Krohn. Jr. ("Krohn,")

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Robert E. and Barbara A. Warren 96-03146 Name of A.S. Goldmen & Company Joseph Piscopo CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on July 23, 1996, claimants Robert E. Warren and Barbara A. Warren ("claimants"), who appeared Pro Se, alleged th

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Duke & Co., Inc. Case No. vs. 96-03145 Name of Respondents Millennium Securities Corp. Cliff Sharfman REPRESENTATION For Claimant Duke & Co., Inc. ("Duke"), William Rotholz, Esq., in-house counsel at Duke located in New York, New York. For Respondent Millennium Securities Corp. ("Millennium") and Cliff Sharfman (Sharfman"), Rick Cardillo, Esq.,

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants) Guy P. Jackson Trust 96-03142 Name of Respondents) Capital Investment Group, Inc. Richard K. Bryant Elmer Otis Edgerton, Jr. Harry M. Bryant, Sr. John Bryant Davidson REPRESENTATION For Claimant Guy P. Jackson Trust ("Claimant") appeared Andrew O. Whiteman, Esq., of the law office Hartzell and Whiteman, LLP located

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Ciaimantfs) Ronald Stephen CarvaJho 96-03140 Name of Respondents) Sterling Foster & Co., Inc. Don Torney REPRESENTATION For Claimant Ronald Stephen Carvalho ("Claimant") appeared Terrence P. Tormey, Esq., a sole practitioner, located in Hazlet, New Jersey. For Respondents Sterling Foster & Co., Inc. ("Sterling") and Don Turney ("Turn

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Marjana Pavkovic 96-03138 Name of Respondent Josephthal Lyon & Ross Inc. Edward M. Vecchio, Jr. REPRESENTATION For claimant Marjana Pavkovic ("claimant") appeared G. Alexander Novak, Esq. of the law firm of Novak & Juhase located in New York, New York. For respondents Josephthal Lyon & Ross, Inc. ("Josephthal") and Edward M. Vecchio, Jr. ("Vecchio") appeare