Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joel and Shirley Feldman, (Claimants) vs. A.S. Goldmen & Company, Inc., Christopher Richardson, Adam Townsend, Peter Tranquilli, Christopher Tomasulo, Patrick Ryan, Thomas Khoury, Stuart Winkler, and Everen Clearing Corp., (Respondents) Case Number: 97-01806 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Joel and Shu-ley Feldman, hereinafter referr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEAMCRg REGULATION. INC. CASE 97-01805 Howard D. Timm, Claimant v. Greenway Capital Corporation and Jack Robert Basile, Respondents ATTORNEYS; Claimant appeared pro se - Spencer, Iowa Respondent Greenway Capital did not appear. Respondent Jack Robert Basile did not appear. DATE FILED: April 14, 1997 CASE SUMMARY: Claimant alleged misrepresentation, omission of material fact, and failure to

N.AJS.D. REGULATION AWARD ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01804 Royce Investment Group, Inc., claimant vs. David Albrecht, respondent. ATTORNEYS; For Claimant appeared Lawrence R. Sandak, Esq., of the firm Sive, Paget & Riesel, P.C., New York, NY. For Respondent appeared John E. Lawlor, Esq., Mineola, NY. DATE FILED: April 9, 1997 CASE SUMMARY: Claimant alleged that respondent purchased shares of Modocad, Inc. for cus

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Estate of Edward Schwiebert and Name of Respondent Tuschner Financial Group f/k/a Tuschner & Co. Scott Rude Name of Claimant Robert Severson and Name of Respondents 97-01801 (consolidated with 97-03538) 97-03538 (consolidated with 97-01801) Tuschner Financial Group f/n/a Tuschner & Company, Inc. John M. Tuschner Scott Allen Rude Denn

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Joseph P. McGivney, Jr. 97-01800 Name of Resoondepts/Counter-Claimants Madison Securities, Inc.; Madison Financial Group, Inc.; Wayne A. Gilpin; David M. Trandel; Michael R. Grady; and Keith Daubenspeck REPRESENTATION For Claimant/Counter-Respondent: Joseph P. McGivney, Jr. ("McGivney") was represented by John R. Ostojic,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Danny Chow 97-01783 Name of Respondents Joseph Stevens & Co. Schroder Wertheim & Co. Inc. Steven Tabb REPRESENTATION For claimant Danny Chow ("claimant") appeared Dennis Hameraick, Esq. a private practitioner with offices located in Brooklyn, New York, For respondents Joseph Stevens & Co. ("Joseph Stevens") and Steven Tabb ("Tabb") (collectively "respondents") appea

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul J. Phillips, Jr., (Claimant) vs. A.B. Watley Group, Inc., (Respondent(s)) Case Number: 00-01926 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Paul J. Phillips, Jr., hereinafter referred to as "Claimant": Dan A. Druz, Esq., a sole practitioner, Manasquan, NJ. Respondent, A.B. Watley Group, Inc., hereinafter referred to as "Respondent": Jonathan S.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas Cardone 97-01782 Name of Respondent Thomas Langer REPRESENTATION Claimant Thomas Cardone ("claimant") appeared pro se. Respondent Thomas Langer ("respondent") did not enter an appearance in this matter. CASE INFORMATION Claimant's Statement of Claim was filed on: February 17, 1997. Claimant's Submission Agreement was signed on: June 3, 1997.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between B.W. Fowler, - Claimant, v. No. 97-01781 Sovereign Equity Management, Donald Canade, and James Cioffi, Respondents. REPRESENTATION OF PARTIES Claimant B.W. Fowler appeared pro se. Respondent Sovereign Equity Management was represented by Thomas W. Hands of Sovereign Equity Management. Respondent Donald Canade was represented by Micha

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEATHS «F.aiTT r ATION. INC. CASE: 97-01778 William W. Mahan, claimant vs. Norfolk Securities Corp., Christopher Mormando, Rondo Hosang, Jeff Van Blarcom & Sovereign Equity Management Corp., respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Folsum, CA. For Respondent Christopher Mormando appeared Michael, H. Ference, Esq. - New York, NY. Respondent Jeff Van Btarcom d