NASD Regulation, Inc, Award In the Matter of Arbitration Between Albert N. Kaufman, Individually and as Trustee of the Albert N. Kaufman Revocable Trust, Claimant, and Case No. 97-01568 Bear Stearns Securities Corporation, Inc., Cohig & Associates, Inc., and Pauli & Co,, Inc., Respondents, REPRESENTATION OF PARTIES Claimant, Albert N. Kaufman, Individually and as Tmstee for the Albert N. Kaufman Revocable Trust, ("Kaufman") was represe

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants The Estate of Doris Thomas Kim Comelius 97-01558 Name of Respondents Prime Capital Services, Inc. Robert Ryerson REPRESENTATION For Claimants The Estate of Doris Thomas ("Thomas") and Kim Comelius ("Comelius") (collectively "Claimants") appeared Mitchell H. Corbert, Esq., a sole practitioner with offices in Morristown, New Jersey. For Respondents

NASD AWARD NATIONAL ASSOCL\TION OF SECURmES DEALERS, INC. In the Matter of the Arbitration Between Ralph E. Marasco, Claimant/ Counterrespondent v. No. 95-02646 John G. Kinnard and Company, Incorporated, Respondent/Counterclaimant REPRESENTATION OF PARTIES Ralph E. Marasco ("Claimant") was represented by Mark E. Weinhardt, Esq., and David K. Easier, Esq,, of Belin, Harris, Lamson, McCormick, Des Moines, Iowa. John G. Kinnard and Company, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David A. Salzberg 95-02644 Name of Respondents Alexandrina Treneva Republic Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 2, 1995, Claimant David A. Salzberg, through his representative, Robert M. Roth, of R.M. Roth & Associates, in Appleton, Wl, alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp riflimanj P^* fJimnher- 01-06361 Leotha Mavis Sims nf tViP. Rpgpnfl^fTit Tearing Sitp.- Chicago, Illinois Morgan Stanley DW Inc. and Ernest A. Newman OF PAPTTFS Claimant Leotha Maivs Sims hereinafter referred to as "Claimant": James E. Caldwell, Esq. of Caldwell & Associates, located in Chicago, Illinois. Respondent Morgan Stanley DW Inc. hereinafter referred to a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant Louise Wilker 95-02642 Name of Respondents Dean Witter Reynolds, Inc. Carola B. Hixson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 2, 1995 Claimant Louise Wilker ("Claimant"), through her representative Robert M. Roth of R M Roth & Associates of Appleton, Wisconsin, alleged t

_ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the- Arbitration Between Name of Claimant Rajesh Rajani Q5-02641 Name of Respondents Lew Lieberbaum & Co., Inc. Dennis J. Daniel Donald A. Roche CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 2, 1995, Claimant Rajesh Rajani ("Claimant"), through his counsel, Robert M. Roth, of R.M. Roth and Associates, located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ofCIaimant David C. Feldhammer 95-02640 Name of Respondents Biltmore Securities Inc. Richard S. Schneider CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 2, 1995 Claimant David C. Feldhammer {"Claimant"), through his representative Robert M. Roth of R.M. Roth & Associates of Appleton, Wisco

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Robert B. Sherman and Joan M. Sherman V. Name of Respondents Prudential Securities, Inc. and Richard Russo Arbitration No. 97-01575 For Claimants: For Respondent Prudential Securities, Inc.: For Respondent Richard Russo: Statement of Claim filed: Claimant Robert B. Sherman's Submission Agreement signed:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul French 95-02446 Name of Respondents Bear Stearns & Company William L. Bingo Michael Margolis REPRESENTATION Claimant Paul French ("Claimant") was represented at the hearing by William Lewis Randolph, Ph.D., CPA, of Colonial Financial Consultants of Newport News, VA. Respondents William L. Bingo ("Bingo"), Michael