Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joyce M. Cooper, (Claimant) vs. Oscar Grass & Son, Inc. and Agnes L. Tavoulareas, (Respondents) Case Number: 98-03453 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Joyce M. Cooper, hereinafter referred to as "Claimant": Anthony J. Sylvester, Esq. Riker, Danzig, Scherer, Hyland & Perretti LLP, Morristown, NJ. Respondent Oscar Grass & Son, Inc. ("OGSI")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Audrey E. Cox Nama of Respondent Svunmit Investment Corp. 94-04245 RBPRBSENTATIOW The Claimant, Audrey B. Cox, was represented by Vemon J. Vander Weide, Esq., of Head, Siefert & Vander Weide, located in Minneapolis, Minnesota. The Respondent, Summit Investinent Corp., was represented by Terrence J. Fleming, Esq., of Lindquist & Vennum, located

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitiation Between Name of Claimantfs') William & Eve Lehrfeld, & Lehrfeld Trast 94-04244 Name of Resoondentfs^ Gruntal & Co., Inc. Joel Seidel Lewis Jaffe REPRESENTATION For Claimants William & Eve Lehrfeld, mdividually ("the Lehrfelds") and as trustees of the William & Eve Lehrfeld Revocable Living Trust ("the Tnist"): William Doyle, Esq. of die law' off

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc 94-04241 Name of Respondem Troy Lee Hinkle tAaSVMMABY In a claim filed with the National Association of Securities Dealers, Inc. on October 13,1994, aaimant Pfudemial Securities, Inc., through its in-house counsei, Patricia Ostuni, Esq., New York, NY, allied that Respondent Troy Lee Huikle, failed to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dulal Kanti Ganguly (Claimant) vs. Charles Schwab & Co, Inc. and Charles R. Schwab (Respondents) Case NumbenOl-04379 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Dulal Kanti Ganguly hereinafter referred to as "Claimant" appeared pro se. Respondents Charles Schwab & Co., Inc. ("Schwab & Co.") and Charles R. Schwab ("Schwab"), hereinafter collectively referred to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01377 Alexander Adamek Family Trust, claimant vs. Euro Pacific Capital, Inc., Peter David Schiff, and Mark D. Anderson, respondents. Claimant appeared Pro Se, Concord, CA. For Respondents appeared Peter David Schiff, President of Euro Pacific Capital, Inc., Marina Del Rey, CA. DATE FILED: March 31, 2000 CASE SUMMARY: Claimant alleged that he instructed respondents to sell h

NASD Arbitration No. 94-04237 NT.A.g.D. AWAPn NATTONAT. ASSDrTATTQN OF SECURITTE5 DRAT.BR.q. TWr. In the matter of the Arbitration Between Nam«» of Claimant (s> S. Frank Campion Nain«> nf Respondent (fl^ Stratton Oakmont, Inc. Richard J. Puccio William J. Mooney Jordon R. Belfort Kenneth S. Greene Daniel M. Porush BPRgsamakTiON For Claimant: Ralph A. Gant, Esq., New York, New York For Respondents Stratton Oakmont, Inc., W

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter A. Gelsey 94-04235 Nam^ of Respondent Prudential Securities, Inc. CASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 12, 1994, Claimant, Peter A. Gelsey ("Gelsey"), who appeared Pro Se, alleged that Respondent, Prudential Securities, Inc. ("PSI"), reversed a paycheck credited t

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between JoiinCWgy and 94-04234 Mtarill Lvnch. Pierce. Fenner & Smith, Inc. and D. Kurt Morgan REPRESENTATION OF PARTIES Claimant, John C. Oxley was represented by Randall G. Vaughan, Esq. of Pray, Walker, Jacknuin, Williamson & Mariar located in Tulsa, OK. Respondents, Merrill Lynch, IHerce, Fenner & Smith, Inc. and D. Kurt Morgan were represented by

H.A.S.D. Regulation, Inc. AllASO NATIONAL ASSOCIATION OF SECtmiTIBS DEALERS REQOLATION, Inc. In the Matter of the Arbitration Between Name of Claimant Steven Sowieja 94-04227 consol. w/ 94-04465 Name of Respondents Stratton Oakmont Inc. Ira A. Boshnack Eric Blumen Adler, Coleman Clearing Corp. Name of Counter-Claimant Stratton Oakmont, Inc. Name of CounterResDondent and Third partv Respondent Steven Sowieja Pacesetter Ostrich