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 In the Matter of the Arbitration Between Name of Claimants Caroline & Robert N. Leentjes and Caroline Colie 96-02959 Name of Respondents Duane Ohly CASE SUMMARY In a claim fi

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Nardo Zaias / Nardo Zaias C/F Julia Zaias Nardo Zaias and Magaly Zaias Nardo Zaias C/F Julia Zaias Magaly Zaias Magaly Zaias C/F Alessa Zaias Magaly Zaias C/F Pedro Zaias Biophile, USA 96-02956 Names of Respondents Shochet Securities, Inc. Diane P. Dymek Leila Kay Shuminer REPRESENTATION Fo

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Marvin Osman v. Arbitration No. 96-02952 Name of Respondents David Weiss, John Klingenmeier, Roger Chlowitz , and Richard Gill REPRESENTATION For Claimant: Ricki C. Ring, Esq. Jay R, Stein, Esq. Law Offices of Ricki C. Ring Los Angeles, California For Respondent David Weiss: David Weiss In Pro Per Northridge, California For Respo

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between John S. Harada Claimant NASD Regulation, Inc. No. 96-02948 vs. Respondents William K. Woodruff, III William K. Woodruff & Company, Inc. RERESENATION OF For Claimant: David H. Zimmer, Esq., Potomac, Maryland, and Edward A. Jaffe, Esq., Torkildson, Katz, Fonseca, Jaffe, Moore & Hetherington, Honolulu, Hawaii For Respondents: Corb

NASD REGULATION, INC. AWARD Case No. 96-02946 In the Matter of the Arbitration Between Name of Claimant x Roger Muniz Names of Respondents Duke & Co., Inc. Charles Bennett REPRESENTATION For claimant Roger Muniz ("claimant") appeared Eric Ross, Esq. of the law offices Fischbein Badillo Wagner Harding located in New York, New York. For respondents Duke & Co., Inc. ("Duke") and Charles Bennett ("Bennett") (collectively "respondents

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Jaim A. Bailey 96-02944 Name of Respondents Lehman Brothers, Inc. Lehman Government Securities, Inc. Timothy Jay Mark Polhill Munir Dauhajre REPRESENTATION Claimant Jaim A. Bailey ("Bailey") appeared pro se. Claimant was previously represented by Anthony Ferrarra of the law offices of Polstein, Ferrara & Dwyer, P.C. located in New York, New

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ARBITRATION BETWEEN PRUDENTIAL SECURITIES INCORPORATED, Claimant No. 96-02937 v. Fred L. PierdoIIa, _ Respondent _ REPRESENTATION CW PAttTIKS The Claimant Prudential Securities Incorporated was represented by Linda A. Gallagher, Esq., of Gomberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent Fred L. PierdoIIa was unrepresented by counsel. r.ASP. TNFOPTVf ATTON

AWARD NASD Regulation, Inc. Office of Dispute Resolution IN THE MATTER OF ARBITRATION BETWEEN PRUDENTIAL SECURITIES INCORPORATED, Claimant v Case Number 96-02933 JAMES E. VONDERGOLTZ, Respondent REPRESENTATION OF PARTIES Claimant, Prudential Securities Incorporated was represented by Steven P. Gomberg, Esq. of Gomberg, Kane & Fischer, Ltd., Chicago, Illinois. Respondent, James E. Vondergoltz was represented by Leonard J. Meyer, Esq. of Z

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Harold A. Levin, Claimant, v. No. 96-02928 J.E. Liss & Company, Inc., and Dennis Waisman, Respondents. REPRESENTATION OF PARTIES Claimant Harold A. Levin ("Claimant") was represented by Paul R. Erickson, Esq. and Colleen M. Fleming, Esq< of Gutglass, Erickson & Bonville, S.C. located in Milwaukee, Wisconsin. Respondents J.E. Liss & Company,

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James 5. Pritula 96-02926 Names of Respondents Fin-Atlantic Securities, Inc. Jerry Sunnan REPRESENTATION For Claimant, James S. Pritula (*Pritula*): pro se. For Respondents, Fin-Atlantic Securities, Inc. ("Fin-Atlantic") and Jerry Sunnan ( M Sunmn tt )L : Earnest H. DeLong, Jr., Esq. of DeLong, C