Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frazier C. Foren, Trustee of the Frazler C. Foren Revocable Trust UAD Septemtier 20, 1993 V. First of Michigan Corporation and Howard Reindel Case Number. 98-4431 Hearing Site: Detroit. Michigan REPRESENTATION OF PARTIES Claimant, Frazier C. Foren, Trustee of the Frazier C. Foren Revocable Trust UAD September 20, 1993 ("Foren"), hereinafter referred to as "Claimant": Belinda F

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph Linthiciun Case No.98-04427 Name of Respondents Salomon Smith Bamey Inc. George W. Fellows, Jr. George W. Fellows, Sr. Robert S. Sutton REPRESENTATION OF PARTIES Claimant Joseph Linthicum ("Claimant") was represented by W. Kwame Anthony, Esq. and Shelby Hamilton, Esq. of the Law Firm of Larson-Jackson, P.C, Washington, D.C. Respondents Sa

Award N.\SD Regulation, Inc. In the Matter of the Arbitration Between: First Institutional Securities, LLC. (Claimant) v. Raymond J. McGrogan, (Respondent) Case Number: 98-04423 Hearing' Site: New York, NY REPRESENTATION OF PARTIES Claimant, First Institutional Securities. LLC ("First Institutional"), hereinafter referred to as "Claimant": Robert M. Axelrod, Fsq.,.in-housc counsel. West Paterson, NJ. Respondent, Raymond J. McGrogan ("mcGrogan"), hereina

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Coast Partners Securities, Inc., (Claimant) vs. TDI, Incorporated, CMC Lease. Inc. (Respondents). TDI, Incoiporated, (Cross-Claimant) vs. CMC Lease. Inc., (Cross-Respondent) TDI, Incorporated, (Third Party Claimant) vs. David Werner, (Third Party Respondent) Case Number: 98-04420 Hearing Site: San Francisco, Califomia. REPRESENTATION OF PARTIES Coast Partners Securities, Inc. here

STIPULATED AWARD NASD Regulation, Inc. 98-04418 In die Matter of die Arbitration Between Name of Claimant Prudential Securities, Inc. Names of Respondents Yonit Duchman and Brian Duchman REPRESENTATION For Claimant: Joseph Rosa, Esq. of Prudential Securities Incorporated Law Department, New York, NY. For Respondents: Barry R. Cohen, Esq. of Barry R. Cohen, P.A., Miami, FL. CASE INFORMATION Statement of Claun filed on November 23, 199

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janet Pasquale, (Claimant) vs. CIBC Oppenheimer Corp., Alden Capital Markets, Inc., Carrie Cimino, and Harvey Block, (Respondents) Case Number: 98-04417 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Janet Pasquale, hereinafter referred to as "Claimant", appeared pro se. Respondent CIBC Oppenheimer Corp. ("Oppenheimer"): Joseph J. Sullivan, III, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Rochella Pasquale, (Claimant) vs. PaineWebber, Inc., Alden Capital Markets, Inc., Harvey Bloch, Melvin L. Applebaum and Carrie Cimino (Respondents) Case Number: 98-04416 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Rochella Pasquale ("Pasquale"), hereinafter referred to as "Claimant", appeared pro se. Respondent, PaineWebber, Inc. ("PaineWebber"), hereinaft

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dennis Paiistenbach and Louise Paustenbach, Claimants vs. Lew Lieberbaum & Co., Inc. n/k/a First Asset Management, Respondent. Case Number: 98-04413 Hearing Site: San Francisco. CA REPRESENTATION OF PARTIES Claimants, Dennis Paustenbach and Louise Paustenbach, (hereinafter collectively referred to as "Claimants"): Appeared Pro Per, 65 Roan Place, Woodside, CA 94062. Respondent, Le

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03860 Edith Schwartz Revocable Trust, claimant vs. Bear Stearns & Company and Kenneth N. Young, respondents. ATTORNEYS: For Claimant Edith Schwartz Revocable Trust ("Claimant") appeared Gayle L. Weinberg, Esq. of Law Offices of Gayle L. Weinberg, Chicago, IL. For Respondents Bear Stearns & Company and Kenneth N. Young ("Respondents") appeared Bear Stearns

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 98-04406 John S. Houston, claimant vs. Dreyfus Service Corporation, respondent. ATTORNEYS: Claimant appeared Pro Se., Tierra Verde, FL. For Respondent appeared Excutive Vice President, Wilson Santos, New York, NY. DATE HLED: November 23, 1998 CASE SUMMARY: Claimant alleged that respondent made an unsuitable investment in moving half of his Dreyfus A Bonds Plus IRA to Comstock Partners