NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Robert N. Shamansky and Myer Mellman and 97-01277 Name of Respondent Dean Witter Reynolds, Inc. Sigmund Munster REPRESENTATION OF PARIES Robert N. Shamansky and Myer Mellman ("Claimants") were represented by Marion H. Little, Jr., Esq., Zeiger & Carpenter, Columbus, Ohio. Dean Witter Reynolds, Inc. ("Respondent Dean Witter") and Sigmund Munster ("Respondent

' ' N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01276 Binder Family Revocable Trust and Lee Binder, claimants v. Investors Associates, Inc and John Puglisi, respondents. ATTORNEYS: For Claimants Claimants appeared pro se - New York, NY For Respondents appeared Lawrence R. Gelber - Hackensack. DATE HLED: 3/12/97 CASE SUMMARY: Claimant alleged: failure to execute a sell order; unauthorized tra

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Philip F. Dickstein, (Claimant) vs. Josephthal Lyon & Ross, Inc., Steven J. Kowitski, and Raymond McLeod, (Respondents) Case Number: 00-01859 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Philip F. Dickstein, hereinafter referred to as "Claimant": David J. Gruber, Esq., Lehman, Lehman & Gruber, Livingston, NJ. Respondents, Josephthal Lyon & Ross, Inc

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Karen Schiff Case No. 97-01273 Name of Respondent Mark Mancino REPRESENTATION OF PARTIES For Claimant: Martin A. Feigenbaum, Esq., Miami, Florida. For Respondent: Delmer C. Cowing. Ill, Esq. of the law firm of Delmer C. Gowing, III, PA, Defray Beach, Florida, CASE INFORMATION Statement of Claim was filed on March 12,1997

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants David E. and Debra K. Lieser 97-01272 Name of Respondents Oppenheimer & Co., Inc. Richard C. Ellis REPRESENTATION Claimants David E. and Debra K. Lieser ("Claimants") appeared pro se. For Respondents Oppenheimer & Co., Inc. ("Oppenheimer") and Richard C. Ellis ("Ellis") (collectively referred to as the "Respondents") appeared Russell S. Katz, Esq. in-house

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dain Bosworth, Inc. Claimant, v. Case Number: 97-01271 Jasen Benton. Respondent. REPRESENTATION OF PARTIES Claimant Dain Bosworth. Inc. ("Claimant") was represented by Ronald P. Kane. Esq. and Linda A. Gallagher, I-sq. of Gomberg Kane & Fischer. Ltd. located in Chicago, Illinois. Respondent Jasen Benton ("Respondent") was represented by Michael

CASE 97-01270 NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald L. Hannah Name of Respondents Matrix Securities Corp. James Shaun Dolan Samuel Constantis REPRESENTATION Claimant Donald L. Hannah appeared pro se. Respondents James Shaun Dolan ("Dolan") and Samuel Constantis ("Constantis") were represented by Dan A. Druz, Esq., Manasquan, NJ. Responden

AWARD NASD Regulation. Inc. Office of"Dispute Resolution In the Matter of the Arbitration Between Name of Claimants James Mitzcl, William Werlinger and David Werlinger and 97-01266 Name of Respondents Kensington Wells Incorporated Edwin L. Lawrence REPRESENTATION OF PARTIES James Mit/eL William Werlinger and David Werlinger ("Claimants") were represented by Mark. J. Briol, Esq., ftriol & Associates and Terrcnce J. Fleming. Hsq.. Lindquis

AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Robert E. Maynard and Elizabeth 3. Maynard, husband and wi fe v. Arbitration No. 97-01265 ORDER OF THE West America Securities Corp. ARBITRATION PANEL (d/b/a Mid-America Securities): Perimeter Group; Arthur W. Taylor; Michael K. Wilhcim: Robert R. Kay; and James Dixon REPRESENTATION OK PARTIKS Claimants were represented by Robert D.

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Thao Trieu v. Arbitration No. 97-01264 Name of Respondents Henry Ran, Pacific Capital Management, Frank Ma, Richard Nguyen and J.B. Oxford & Company REPRESENTATION For Claimant: For Respondent Henry Ran: For Respondents Pacific Capital Management and Frank Ma: For Cross-Respondent JB Ox