NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants James and Dolores Cutia 96-02765 Name of Respondents The Codrick Financial Group, Inc. Joseph Codrick For Claimants James and Dolores Cutia ("Claimants") appeared Terrence P. Tormey, Esq. of the firm Bethany Commons, located in Hazlet, New York. Respondents Codrick Financial Group ("CFG") and Joseph Codrick ("Codrick") (collect

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William and Margaret K. Aurilio 96-02763 Name of Respondents Joseph Bonetti Ron Bozan John Margiotta CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 5, 1996, claimants William and Margaret K. Aurilio ("claimants") who appeared Pro Se through, William Aurilio ("claimant"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paulson Investment Company Inc. 96-02762 Name of Respondent Michael Grayson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 27, 1996, claimant Paulson Investment Company, Inc. ("claimant"), who appeared through its representative, Gary M. Berne, Esq., of the law firm of Stoll Bern

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Phyllis Victor Diesel 96-02760 Name of Respondent(s) Invest Financial Corp. Michael J. Acierno REPRESENTATION For Claimant Phyllis Victor Diesel ("Diesel"): Daniel S. Herman, Esq. of the law office of Daniel S. Herman, Aventura, FL. For Respondents Invest Financial Corp. ("Invest") and Michael J. Acierno ("Acierno"): Euge

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Paine Webber, Inc., Claimant, and No. 96-02756 Harold C. Kaffie, Jr., Gregory D. Goodman, Walter P. Thompson, Corporate Securities Group, Inc., and Kaffie Goodman & Thompson, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Paine Webber, Inc. was represented by Joel Held, Esquire of Arter & Hadden, located in Dallas, Texas. Respondents

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William H. Bode, (Claimant) vs. Salomon Smith Barney, Inc., Martin M. Gray, and John Williams, (Respondents) Case Number: 00-05093 Hearing Site: Washington, B.C. REPRESENTATION OF PARTIES Claimant, William H. Bode, hereinafter referred to as "Claimant": Richard S. Kraut, Esq., Dilworth Paxson, PLLC, Washington, D.C. (Mr. Kraut was with the law firm of Storch & Brenner LLP,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between William C. Schwenck, Claimant, and No. 96-02754 Piper Jaffray, Inc., Respondent. REPRESENTATION OF PARTIES Claimant William C. Schwenck was represented by Gail E. Boliver, Esquire of Boliver Law Firm, located in Omaha, Nebraska. Respondent Piper Jaffray, Inc. was represented by Michael A. G. Korengold, Esquire of Leonard, Street & Deinard, locat

BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. DEAN WITTER REYNOLDS, INC., ) CLAIMANT AND COUNTER-RESPONDENT, ) ) V. ) No. 96-02752 ) THOMAS MUNN, JR., ) Respondent and Counter-Claimant. ) CONTENTIONS OF THE PARTIES Dean Witter Reynolds, Inc. ("Dean Witter") initiated these proceedings by submitting its Statement of Claim, and accompanying Submission Agreement, in June of 1996. Dean Witter claimed that Thomas Munn, jr. ("Munn"),

i NASD Regulation, Inc., Award In the Matter of Arbitration Between Olde Discount Corporation, Claimant, and No. 96-02749 Godwin N. Chimagoro, Respondent. REPRESENTATION OF PARTIES Claimant, Olde Discount Corporation was represented by David M. Kuhna, Vice President, of Olde in Detroit, Michigan. I Respondent, Godwin N. Chimagoro did not file an appearance or an answer. CASE INFORMATION Claimant, Olde Discount Corporation's Statement

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Juan O. Garden and Juan O. Garden, Trustee under Juan O. Garden Trust Agreement, Claimant, v. 96-02748 Smith Barney, Inc., and Irwin Shayne, Respondents. REPRESENTATION OF PARTIES Juan O. Garden and Juan 0. Garden, Trustee under Juan O. Garden Trust Agreement, (" was represented by Alan G. Gearson, Esq., of Blumenfeld, Kaplan & Sandweiss