-06/13/01 WED 11:35 FAI NASD REGULATION AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of QaimantCsl Marshall Bryan and ** 00-02975 Scottsdaie, Arizona Name of Respondents Russo Securities^ Inc. William G. Brown REPRESENTATION Of PARTIES Marshall Bryan ("Claimant") was represented by Michael SaJcido, Esq., Gust Rosenfeld, PLC, Phoenix, Arizona. Russo Securities, Inc. ("Respondent Russo") was rep

AWARD NASD Regulation, Inc. , In the Matter of the Arbitration Between Name of Claimant Richard D. Balm and 98-01192 Name of Respondents Principal Financial Securities, Inc. Paul Presthus REPRESENTATION OF PARTIES Richard D. Balm ("Claimant") was represented by Lewis A. Remele, Esq., Bassford, Lockhart, Truesdell & Briggs, Minneapolis, Minnesota. Principal Financial Securities, Inc. ("Respondent Principal") and Paul Presthus ("Respondent

ALj£-02-9S 06=56 FROM=NABD REGULATION INC. ID: PAGE 2/14 AWARD —S' NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Yisrpel Goldstein v. Arbitration No. 98-01188 Name of Respondents Kensington Capital, Inc., Southwest Securities, Inc., Abraham Silver, Mendy Simon REPRESENTATION For Claimant: David C. Erdos, Esq. Erdos & Maddux, LJjC Stamford, Connecticut For Resp

Award NASD Regulation, Inc. In the Matter of the Consolidated Case entitled "Noiris Consolidated Cases" Consolidated Case Number: 98-01186 Norris v. Renaissance Financial Securities Corporation, et al. 98-01186 Schmid v. Renaissance Financial Securities Corporation, et al. 97-03388 Huxman v. Renaissance Financial Securities Corporation, et al. 98-01020 Case Number: 98-01186 Hearing Site: Los Angeles, California John D, Norris and Dewanna D. Norris, Clai

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Scott Kneeland 98-01185 Name of Respondents Sutro & Co. Dylan Colby REPRESENTATION OF PARTIES For Claimant; Michael Leong, Esq., Bell, Flegenheimer, Leong & Solovy, Seattle, Washington. For Respondents: David H.S. Commins, Esq., Law Offices of David H.S. Commins, San Francisco, California. CASE INFORMATION Claimant's Statement of Claim was f

N.A.S.D. REGULATION, INC. AWARD CASE: 98-01179 Don Bogacz, claimant vs. J.B. Sutton Group, LLC, respondent. ATTORNEYS: Claimant appeared Pro Se. - Wauconda, IL. For respondent appeared Gregg Evangelist - Great Neck, NY. DATE FILED: 3/3C/98 CASE SUMMARY: Claimant alleged misrepresentation and breach of fiduciary duty. Claim Data Award Data Claim: $2,462.75 Award: $.00 Filing Fees: $.00 Filing Fees: $.00 Other: $.00 Other: $.00 AWARD: The

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Jeffrey Q. Lewis v. Arbitration No. 98-01177 Name of Respondents Declan James Marmion and J.B. Oxford & Co. REPRESENTATION For Claimant: Did Not Appear For Respondents: Jeffrey S. Kob, Esq. Miller, Milove & Kob San Diego, California CASE INFORMATION Statement of Claim filed: March 25. 1998 Claimant's Submiss

AWARD NASD REGULATION, INC In the matter of the Arbitration Between Name of Claimants' John L'. Shrank Name of Respondent(s) Dakin Securities Corporation Robert Hutchinson Samuel Skinner For Claimant: REPRESENTATION P.J. Benedict O'Mahoney. Esq. San Mateo, California For Respondents Dakin Securities and Samuel Skinner: Anthony M. Englese, Esq. San Francisco, California For Respondent Robert Hutchinson: No appearance C

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Kathleen C. Ahing 98-01171 Name of Respondent Lehman Brothers Inc REPRESENTATION For Claimant Kathleen C. Ahing ("Claimant") appeared Mandy R. Steele, Esq., a sole practitioner located in East Brunswick, NJ For Respondent Lehman Brothers, Inc. ("Respondent") appeared Kevin B. Leblang, Esq. and Isabel P. McDonald, Esq. of the law firm Kramer, Levin, Naft

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Harry Falterbauer Thalbach Anstalt 98-01166 Names of Respondents A.G. Edwards & Sons, Inc. Jens Dalsgaard REPRESENTATION For Claimants Harry Falterbauer ("Falterbauer") and Thalbach Anstalt ("Anstalt"): Russell L. Forkey, Esq. of Russell L. Forkey, P.A., Fort Lauderdale, FL. For Respondents A.G. Edwards & Sons, Inc. ("AGE") and Jens Dalsgaard ("Da