Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Nepenthe, Inc. vs. Case No. 98-01969 Name of Respondent PaineWebber, Inc. Ralph M. Courage REPRESENTATION OF PARTIES Claimant, Nepenthe, Inc. ("Claimant"): John S. Norris, Esq., Norris & St. Clair, P.C., Virginia Beach, Virginia Respondents, Paine Webber, Inc. ( M PW M ), and Ralph M. Courage ("Courage"), hereinafter colle

AWARD NASD Regulation, Inc. CASE: 98-01965 Rueben Siwek, claimant vs. Spencer Trask Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Scarsdale, NY. For respondent appeared Ronald Luken - New York, NY. DATE FILED: 5/28/98 CASE SUMMARY: Claimant alleged breach of fiduciary duty, misreps, et al. Claim Data Award Data Claim: $10,000.00 Award: $.00 Other: $.00 Other: $.00 AWARD: The undersigned arbitrator has decided and d

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Milton Hirsch, (Claimant) vs. L.T. Lawrence & Co., Lawrence Principato and Todd Roberti (Respondents) Case Number: 98-01964 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Milton Hirsch ("Claimant"): Dan Druz, Esq., Law Offices of Dan Druz, Manasquan, New Jersey. Respondents, L.T. Lawrence & Co. ("LTL"), Lawrence Principato ("Principato"), and Todd Roberti

AWARD NASD Regulation, Inc. CASE: 98 - 01962 Stephen Wanat, claimant vs. Alfred Blair Blaikie and H.D. Brous & Co., respondents. ATTORNEYS: Claimant appeared Pro Se. - Tiburon, CA. For Respondent Alfred Blair Blaikie appeared Michael Utilla, Esq. - Brooklyn, NY. For Respondent H.D. Brous & Co. appeared Kevin T. Rover, Esq. - New York, NY. DATE FILED: 5/28/98 CASE SUMMARY: Claimant alleged misrepresentation and failure to execute a sell order of

AWARD NASD Regulation, Inc. CASE: 98-01961 Reuben Siwek, claimant vs. GKN Securities, respondent. ATTORNEYS: Claimant appeared Pro Se. - Scarsdale, NY. For respondent appeared Katherine Nathan, Esq., - New York, NY. DATE FILED: 5/29/98 CASE SUMMARY: Claimant alleged unsuitability, misrepresentation, omission of facts and breach of fiduciary duty. Claim Data Award Data Claim: $10,000.00 Award: $.00 Other: $.00 Other: $.00 AWARD: The u

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Richard Larch and 98-01954 Name of Respondent Principal Financial Securities Denise Behl REPRESENTATION OF PARTIES Richard Larch ("Claimant") was represented by Paul J, DesHotels, Esq., law Offices of Paul J. DesHotels, Ltd., Minneapolis, Minnesota. Principal Financial Securities ("Respondent Principal") and Denise Behl ("Respondent Behl") were repr

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James R. Smith vs. Case No. 98-01952 Name of Respondents Howard B. Berger Fiserv Correspondent Services Michael Lodispoto REPRESENTATION OF PARTIES Claimant, James R. Smith, hereinafter referred to as "Claimant": Stephen S, Lux, Esq., Shustak Jalil & Heller, New York, New York Respondent Howard B. Berger ("Berger): Roger J. Schwarz, Esq., New York,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Hunter S. and Linda Tashman vs. Case No. 98-01951 Name of Respondents Walsh Manning Securities, LLC Brian J. Tollin Paul Wasserman Frank J. Skelly REPRESENTATION OF PARTIES Claimants, Hunter and Linda Tashman, hereinafter collectively referred to as "Claimants": S. Lawrence Polk, Esq. and Lauren E. Wagner, Esq., Sutherland, Asbill & Brennan, Atlant

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David P. Engberg, as Trustee of the Revocable Trust of Paul R. Engberg and Louise M. Engberg, Case Number 98-01950 Name of Respondents Dean Witter Reynolds, Inc. (n/k/a Morgan Stanley Dean Witter, Inc.) James Zientara Jeffrey P. Paulsen REPRESENTATION Claimant David P. Engberg, as Trustee of the Revocable Trust of Paul R. Engberg and Louise M. E

Award NASD Regulation, Inc. .,, me Matter of the Arbitration Between: OLDE Discount Corporation v. Dominic Siwik and Morgan Stanley Dean Witter & Co. Case Number: 00-3060 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, OLDE Discount Corporation ("OLDE"), hereinafter referred to as "Claimant": Steven M. Malina, Esq., and Carol M. Douglas, Esq., Ungaretti & Harris, Chicago, Illinois. Respondent, Dominic Siwik ("Siwik"), hereinafter ref