flPR. 6.1998 SUIPM NflSD REGULPTION FL NO. 195 P. 9 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGUIATION, INC. In the Matter of the Arbitration Between Ntmg of Claimant Richard 3. Dutton, Individually md u Trustee of the Richard J. Dunoo Revocable Living Truat and Heka F. Dutton, u Trurtcc of the Helen F. Dunoo Revocable Living Trim 9WH925 Names Great titei Capital, bo. John Clack For Clabnantt; Joel C. Zwemer, Ewj. o

N.A.S JK REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01924 Charles F. Chevrie, claimant vs. Randy Pribyl and Berthel Fisher & Co., respondents. ATTORNEYS: Claimant appeared Pro Se, Hinsdale, IL. For Respondents appeared in-house counsel, Leslie D. Smith, Esq., Cedar Rapids, IA. DATE FILED:^April 16, 1997, CASE SUMMARY: Claimant alleged that respondents did not provide full disclosure prior to his purchase of

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01922 Mary Hughes, claimant vs. Prudential Securities, Inc. and Piper Jaffray, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Excelsior, MN. For Respondent Prudential Securities, Inc., appeared in-house counsel, Norman L. Ashkenas, Esq., New York, NY. For Respondent Piper Jaffray, Inc., appeared in-house counsel, Mark S. Reed, Esq., Minneapolis, M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert W. Baird & Co. Incorporated Case No. 00-01948 Slifel, Nicolaus & Co., Inc.; Beth Anne Hoffman; and Robert S. Omelina, Jr. Site- Milwaukee, Wisconsin Claimant Robert W. Baird & Co. Incorporated ("Baird") was represented by Christopher J. Barber, Esq. of the firm of Piper Marbury Rudnick & Wolfe, located in Chicago, Elinois. Respondents Stifel, Nicolaus & Co.,

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Paul S. Rosenblum. Claimant, v. No. 97-01920 John Sciascia. and State Street Capital Markets Corp., Respondents. REPRESENTATION OF PARTIES Claimant Paul S. Rosenblum ("Claimant") was represented by Thomas A. Roberts. Esq. of McGlinchey Stafford. Ll.C located in New Orleans. Louisiana. Respondent John Sciascia ("Sciaseia") was represented by

-DEC.15.1998 -9=15AM NASD REGULATION FL NO.315 p.g NASD REGULATION* INC. AWARD NASD Re$;n!tation, Inc., Office of Dispute Resolution la the Mi, JOT of the Arbitration Between its Carolyn Q. Wilkirson as Trustee of the Henry H. Qaorge, Alice B. George Trust and Carolyn G. Wffldrson as Trustee of the Henry H. George Family Trust N araes of Respondents Dean Witter Reynolds Inc. Mtivyn Mishatewich Michael A. Fleming Ronald Tbonw Maho

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation Case No. vs. 97-01907 Name of Respondent Patrick Carroll REPRESENTATION For Claimant Paragon Capital Corporation ("Claimant") appeared David S. Smith, Esq. of the firm Smith, Campbell & Paduano, located in New York, New York. Respondent Patrick Carroll ("Respondent")* appeared pro se and is located in Westerlo, New York.

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Leonaftl Corso, \ Claimant, v. No. 97-01893 Smith Barney, Inc., and Leonard E. Dunn. Respondents. REPRESENTATION OF PARTIES Claimant Leonard Corso ("Claimant") was represented by Mark E. Sanders. Esq. and Mary Beth Peranteau, Esq. of Hailing &. Cayo, S.C. located in Milwaukee, Wisconsin. Respondents Smith Barney. Inc. ("Smith Barney") an

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between •* Name of Claimant James Garnets 97-01888 Name of Respondents Sterling Foster & Company, Inc. Adam R. Lveberman Michael H. Cohn REPRESENTATION For Claimant James Garnets ("Garnets' 1 ) appeared Randy Scott Zelin, Esq., of the law office Blodnick Blodnick & Zelin, P.C., located in Roslyn Heights, New York. For Respondents Sterling Foster & Company, Inc. ("St

NASD REGULATION INC. AWARD •MI, Inc. Office of Dispute Resolution ..*cr of the Arbitration Between Name of Clajmant(s) Richard Jacoby, DPM 97-01884 Name of Respondents) PaineWebber, Inc. Kidder, Peabody & Co., Incorporated Martin L. Rising REPRESENTATION Richard Jacoby, DPM ("Claimant") was represented by Robert D. Mitchell, Esq., Law offices of Robert D. Mitchell, Esq., Phoenix, Arizona, PaineWebber, Inc. ("PaineWebber") was represe