N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In die Matter of die Arbitration Between Name of Claimants William G. and Tessie E. Strong 94-05459 Name of Respondents Michael B. Fishbein Barry Wilson In a claim filed with die National Association of Securities Dealers, Inc. on £}ecember 21, 1995 Claimants William G. and Tessie E. Strong ("Gaimants"), who appeared Pro Se. alleged that Respondents Michael B. Fishbein ("Fishbein"), o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matier of the Arbitration Between Name of Claimantfs) Jack T. Bentiey 94-05457 Name of ResnondentCs) Smith Bainey Shearson, Inc. REPRESENTATION For Claimants, Jack T. Bentiey and Manha S. Bendey ("Bentiey"): Jack T. Bentiey (pro se). For Respondent, Shearson Lehman Brothers ("Shearson"): Neil A. Sussman, Esq of Smith Bainey, Inc. (successor to Shearson Lehman Brothers,

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Audrey and Edwin Weiss Trust, Audrey Weiss and Edwin Weiss, Co-Tmstees, Claimants, v. NASD No. 94-5444 Olde Discount Ccrporauon and Rory C. Vander Heyden. Respondents. Representation For Claimants: Pro Se, Walnut Creek, Califomia For Respondents: Karen Brink, Esq. of Olde Discount Corporation. Detroit, Michigan Case Information Statement of

AWARD NASD Dispute Resolution in the Matter of the Arbitration Between Name of Claimant Shore Investments and . Case Number: 01-04256 Hearing Site: Troy, Michigan Names of Respondents UBS PaineWebber, Inc. Anthony Agbay, and Matthew D. Nyquist REPRESENTATION OF PARTIES Shore Investments ("Claimant") was represented by Anthony V. Trogan, Esq., Anthony V. Trogan PLLC, West Bloomfield, Michigan. UBS PaineWebber; inc. ("UBSPW"), Anth

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen F. Beck and Marilyn Beck 94-05437 Name nf Respondents Bateman Eichler, Hill Richards, Inc. n/k/a Kemper Securities, Inc. Lyle Meek In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1994. Claimants Stephen F. Beck and Marilyn Beck, who appeared Pro Se. alleged that Respondent Lyle M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis D. 8c Kathleen C. Mazzei 94-05435 Gibraltar Securities Co. Daniel Lewis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1994, Claimants Louis D. Mazzei and Kathleen C. Mazzei, who appeared Pro Se, alleged that they gave Respondents Gilbaltar Securities Company and D

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS Fn the Matter of the Arbitration Between Name of Claimantfs) Burton E. Goldstein 94-05433 Name of Re5nondent(s) Dain Bosworth Incorporated CASE SUMMARY In a claim filed with die National AssociaUon of Securities Dealers, Inc. on December 20,1994, Qaimant Burton E. Goldstein, who appeared Pro Se, alleged that Respondeat Dain BosworA Incorporated, tfarot^ its representatives, failed to d

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant Jimmy D. Wilson 94-05430 Name of Respondentfs) Jack W. Dicks Charles Smith, Jr. Delta First Financial Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on December 16, 1994, Claimant, Jimmy D. Wilson ("Claimant") , who appeared Pro Se, alleged that on or about Dec

N.A.S.D. AWARD NATIONAL fY'>SOCIATION OF SEGURITIE? DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Jack Greening, Sr. NASD Arbitration dba Rolling Ridge Ranch, 94^5409 Jack Greening, Jr., and Viaoria C. Wray Greening, vs. Name of Respgndcms Stratton Oakmont, Inc. and Daniel Porush REPRESENTATION For Claimants: Ms. Susan Perkins, Esq., New York, New York For Respondents: Mr. David Hirschberg, Esq., Wexler

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norman Rose 94-05287 Name of Respondents Pmdential Securities Inc Howard N. Norkin Saul R. Mandel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16, 1994, Claimant Norman Rose ("Rose"), through counsel Jefif Ca.hn, Esq., of Investors Arbitration Services, Inc., Boca Raton, Florida, alleged t