N.A.S.D. ANARD NATICMAL ASSOdAITCK OF SECORmES DBU^SS In the Matter of the AzbltzaticD BetMOSi Ifame of t^^^^^mta James azid Glecda Zarin 92-00899 name of ReapoDdgitg F.N. Wolf & Co., Inc. John ;qhnntwr PUBLIC daixDants Janns and Glenda Zazin ("Clalaants") were letiieoepted by Eric F. Scbell of the law fizm of David L. IXiff, P.C. Reepculents F.N. Mblf & Co., Inc. and Jofab iShiistPr ("Reepcodeats") vnre i^eocuted by Janes C. Croeby, E

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marvin B. Fester, Joyce L. Fester. Tom A. Davanzo and Kathy J. Davanzo ^"'^ 95-04111 Name of Respondent ChatField Dean & Company, Inc. Michele Sandt Wade REPRESFNT VrrON OF P AKTIFS Marvin B F^ester, Joyce L. Fester, Tom A. Davanzo and Kathy J. Davanzo ("Claimants") were represemed by James S. Helfrich, Esq., Gersh & Danielson, De

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, In che matter of the Arbitration Between Name of Claimant's) ?orrey Pines Securities, Inc. Nam>e of Responden NASD Arbitration No. 95-04110 Richard .oates REPRESEOTATION For Claimant: Jack C. Smith, Torrey Pines Securities, Inc., Solana Beach, California For Respondent: Richard C. Coates, Solana Beach, California CASE INFORMATION Statement of Claim filed: August 25

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALER.^ Name of Claimant: PaineWebber Incorporated NASD No.: 95-04061 Name of Respondent: Richard Ortiz Representation of Parties: For Claimant: Thomas M. Mierswa, Jr., Esq. For Respondent: Morris Tabak, Esq. Case Information: Statement of Claim, filed on or about August 17,1995. Claimant's Submission Agreement, signed on or about August 17,1995. Respondent did not file a Statement of Answer o

N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECLTUTIES DEALERS In the Matter of .A.rbitration Between Name of Claimant Hammi Hattori 95-03755 Name of Respondent L.C. Wegard & Co., Inc. and Joseph Orlando REPRESENTATION For Claimant: Vicki Kuftic Home, Esq., sole practioner, Pittsburgh, PA. Respondents L.C. Wegard & Co.. Inc. and Joseph Orlando did not appear at the hearing. CASE ESTORMATTOX Statement of Claim filed: August 2, 1995. Claimant

Award - NASD Dispute Resolution In the Matter of the Arbitration Between: Name of flip Claimants Wayne A. Dixon Jacqueline R. Dixon Name nf the RespnnHents Terry L. Vandelinde Securian Financial Services, Inc. Pase Number: 01-06412 Rearing Site- Richmond, Virginia RF.PRFSFNTATTON OF PARTIES Claimants Wayne A. Dixon and Jacqueline R. Dixon, hereinafter collectively referred to as "Claimants", were represented by John F. Hanzel, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURFTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aquilino Larrea 95-02944 Name of Respondents Oppenheimer & Co., Inc. Jerome Winnick REPRESENTATION For Claimant, Aquilino Larrea, ("Larrea"): Howard N. Kahn, Esq. of Kramer, Green, Zuckerman & Kahn, P.A., Hollywood, FL. For Respondents, Oppenheimer & Co., Inc. ("Oppenheimer") and Jerome Winnick ("Winnick"): Michelle A. Mu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTIRTTTFS nFAI.F.RS TNC In the matter of the Arbitration Between Name of Claim^^nt'^ The McCullough Family Trust; By and Through Frank McCullough, Its Trustee Name of RespnnH.j'nf'T Foresight Capital Management, Inc. and Rene Molina Name of Third-Partv Respondents Liberty Capital Markets and Thomas Pollack For Claimants: For Respondents: For Third-Party Respondents: REPRESENTATION William F.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Names of Claimants Thomas E. Wing, Jr. and Vicki L. Wing and Names of Respondents Biltmore Securities, Incorporated, Richard Bronson and Tom Pronesti Case Number 95-02932 REPRESENTATION OF PARTIES ^TZlp^rf-^t c "^^"^ ("Claimants") were represented by Thomas M. Klenda, Esq. and Phillip L. Allbntten, Esq. of Klenda, Gordon & Getchell,

NASD Arbitration No. 95-02931 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claitnants John and Georgana Barrett V. Name of Respondents Nina Cavalieri, Jim Bullard and Paul Caruso REPRESENTATION For Claimants: John and Georgana Barrett, in pro per For Respondents: No appearance by Respondents CASE INFORMATION Statement of Claim filed: June 16, 1995 Claimant's Su