N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Carol R. Naoum 95-00529 Name of Respondent(s) Bear Stearas Securities Corp Steven D. Wyman Joseph C. Visconti Michelle Hutchinson REPRESENTATION For Claimant, Carol R. Naoum ("Naoum"): Carol R. Naoum ("Pro Se"). For Respondents, Steven Wyman ("Wyman"), Joseph Visconti ("Visconti"), Michelle Hutchinson ("Hutchi

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen and Patsi McClaran Claimants NASD Arbitration v. No. 96-01227 Stratton Oakmont, Inc., James T. Kelly, John Squeri and Jordan R. Belfort Respondents REPRESENTATION OF PARTIES Stephen and Patsi McClaran ("Claimants") was represented by Ralph Gant, Esq., New York City, New York. Stratton Oakmont, Inc., James T. Kelly, John Sq

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joseph Barberio Case No. vs. 97-00455 Names of Respondents First Albany Corporation Steven Lleras John Tubman REPRESENTATION Claimant Joseph Barberio appeared pro se. For Respondents First Albany Corporation ("First Albany"), Steven Lleras ("Lleras") and John Tubman ("Tubman"), hereinafter collectively referred to as "Respondents," appeared Brian Mu

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. v. Name of Respondent Wendell L. Baker Arbitration No. 97-02556 REPRESENTATION For Claimant: For Respondent: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answer filed by Respondent: Respondent's Submission Ag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincent Mongno Dianne Borden 96-03449 Name of Respondents Donson Gene Brooks Harold BailyGallison La Jolla Capital Corp. Claimants Vincent Mongno ("Mongno") and Dianne Borden ("Borden") appeared pro se. Respondent Donson Gene Brooks ("Brooks") was represented by Tracy Pride Stoneman, Esq. of Susemihl & McDenuott, P.C.,

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wilmington Brokerage Service Company 93-00853 Name of Respondent James G. Wagner REPRESENTATION Claimant Wilmington Brokerage Service Company ("Claimant 1 ') was represented by J. Michael Christopher, Esq. of the Legal Division of Wilimington Trust Company. Respondent James G. Wagner ("Respondent") did not appear no

N.A.S.D. AWARD NATIONAL ASSOCIATION OF_gE;CURITTES DEALERS. INC... In the matter of the Arbitration Between Name of JTlaimant: (s) Errol Reiter of ResTDOndent (s} NASD Arbitration No. 95-01708 Prudential Securities, Inc. Meyer H. Berk For Claimant: Jack Dozier, Esq., Atherton & Dozier, Stockton, California For Respondents: William Freilich, Esq., Prudential Securities, Inc., New York, New York CASE INFORMATION Statement of Cl

NATTDNAT. ASSOTTATinN OF SF.CURTTTFS DF.AT.F.RS TNC In the matter of the Arbitration Between nf Claimant Sartaj N. Khan NASD Arbitration No. 95-00801 Nayne nf Respondent Kennedy, Cabot & Co. For Claimant : Sartaj N. Khan, In Pro Per For Respondent : George Kupper, Esq., Kennedy, Cabot & Co. Beverly Hills, California TASK Statement of Claim filed: February 16, 1995 Claimant's Submission Agreement signed: February 10, 1995 Statemen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Manuel Selya Revocable Trust and Manuel Selya IRA, Claimants v. Barington Capital Group, L.P., and Scott David Bobrow and Marc Gary Katz, Respondents Case Number: 99-02252 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Michael Huberman, Esq. Michael Huberman and Associates, Securities Arbitration Consultants La Quinta, California For Respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation, Claimant v. Gregory Royal, Respondent Case Number:. 99-02059 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Mitch Albert, Esq. Albert & Will Torrance, California For Respondent: Gregory Royal In Pro Per Onalaska, Wisconsin CASE INFORMATION Statement of Claim filed: April 30, 1999 Claimant's Uniform Submi