NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Benson R. Bieley Case Number and 97-00581 Name of Respondent John H. Ludemann, Jr. REPRESENTATION OF PARTIES Benson R. Bieley ("Claimant") appeared pro se. John H. Ludemann, Jr. ("Respondent") appeared pro se. CASE INFORMATION Claimant filed the Statement of Claim on April 18, 1997. Claimant signed the Uniform Submission Agreement on Januar

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Scott Smalley, (Claimant) v. Princeton Securities Corp, and Dan Ponn, (Respondents) Case Number: 97-00579 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Scott Smalley ("Smalley"), hereinafter referred to as "Claimant": Gerald Fogertv, Esq.. a sole practitioner, Astoria, NY. Respondent, Princeton Securities Corp. ("Princeton"): Brian A. Carlis, Esq., Stark & Stark.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00576 Ranee Viravakin, claimant vs. American Investment Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se - Evanston, IL. For Respondent appeared Lisa Strong, Vice President, American Investment Services, Inc., East Peoria, IL. DATE FILED: February 3, 1997. CASE SUMMARY: Claimant alleged that respondent withheld crucial information and failed

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00574 Stanley D. Heden, claimant v. Smith Barney Inc., respondents. ATTORNEYS: Claimant appeared pro se - Salt Lake City, UT For Respondent appeared Ann Pary, Esq. - New York, NY DATE FILED: 2/3/97 CASE SUMMARY: Claimant alleged unsuitability, misrepresentation, failure to provide a prospectus and misleading monthly statements regarding the sale of a real

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00573 Arthur P. Solomon, claimant v. Robert Schuessling and State Street Capital Markets Corp., respondents. ATTORNEYS. Claimant appeared pro se - Great Neck, NY. Respondent Robert Schuessling appeared pro se - New York, NY. Respondent State Street Capital Markets Corp. did not appear. DATE FILED: 2/3/97 CASE SUMMARY: Claimant alleged Failure to execut

AFR-21-89 10.55 FROM«NABD REGULATION ID: PACE NASD AWARD NASP Regulation, Inc. 2X14 In the Matter of the Arbitration Between Name of Claimants Estate of Sam Gottlieb Rochelle Elbogen Aaron Elbogen Moms Gottlieb Case Number and 97-00571 Name of Respondent Robert Stier REPRESENTATION? OF PARTIES For the Estate of Sam Gottlieb, Rochelle Elbogen, Aaron Elbogen, Israel Elbogen and Morris Gottlieb (collectively referred to as "

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants John A. and Marie Manginelli 97-00570 Name of Respondents Smith Barney, Inc. George Wolfgang REPRESENTATION For Claimants John A. and Marie Manginelli ("Claimants") appeared Harry L. Garman, Esq., a sole practitioner with offices located in Verona, New Jersey. For Respondents Smith Barney, Inc. ("Smith Barney"), and George Wolfgang ("Wolfgang"), (c

AWARD NASD Regulation. Inc. Office of Dispute Resolution _____ ^ ™ """•'•':;'.. In the Matter of the Arbitration Between [Q) ft- Raymond and Juliet Cochran. (:*/,;,; "DPITDA-, Claimants and Counter-Respondents, v. No. 97-00569 Merrill Lynch. Pierce. Fenner & Smith. Inc.. & Dennis Dreniko\v,ski, Respondents and Counter-Cla'mams. REPRESENTATION OF PARTIES Claimants Raymond and Juliet Cochran ("Claimants") \\ere represented by Raymond Cochr

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Evelyn M. Lossia v. Name of Respondents Kennedy. Cabot & Co., Inc. and James Cunningham Arbitration No. 97-00567 REPRESENTATION For Claimant: For Respondents: William F. Davis, Esq. Law Offices of William F. Davis, Esq. Pacific Palisades, California George H. Kupper. Esq. Kennedy, Cabot & Company Bev

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between HaiZhenYu; Jia Gong Zhang Claimants, and No. 97-00566 Corporate Investments Group, Inc.; John Li Respondents. REPRESENTATION OF PARTIES For Claimants: Hai Zhen Yu ("Yu") and Jia Gong Zhang ("Zhang") were represented by Paul Sussman, Esq. of Chicago, Illinois. For Respondents: Corporate Investments Group, Inc. ("Corporate") and John Li ("Li")