Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Nader Mirzai, Claimant v. Smith Barney, Inc., Ted Kenney, Thorn N. Robertson, Elaine C. Dodson, and Keith D. Knabke, Respondents. Case Number: 96-05383 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Nancy B. Duffy, Esq. Law Office of Nancy B. Duffy Santa Barbara, California For Respondents Smith Barney, Inc., Ted Kenney and Elaine C. Dodson

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Marble Scholarship Committee vs. Case No. 96-05380 Name of Respondents Marsh Block & Co., Inc. Carmen Popescu Schroder Wertheim & Co., Inc. Paine Webber, Inc. Stephen G. Zavada, Jr. REPRESENTATION For Claimant Marble Scholarship Committee ("Claimant") appeared Frank Patton, Jr., Esq., of the firm Forsythe Holbrook Patton Bovone & Ellis, loca

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Emerson D. Cailahan 96-05378 Name of Respondents Guiseppi Joseph Bonetti Fred E. Plan Euro-Atlantic Securities, Inc. REPRESENTATION Claimant Emerson D. Cailahan ("claimant") appeared pro se. Respondent Guiseppi Joseph Bonetti ("Bonetti") did not appear at the hearing. Respondent Fred Plan ("Plan") appeared pro se. Re

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Denis Piel, Inc. Fund Denis Piel, Inc. 96-05376 Names of Respondents Investors Associates, Inc. Jason B. Schneitzer REPRESENTATION For Claimants Denis Piel, Inc. Fund and Denis Piel, Inc. (collectively referred to as "Claimants") appeared Ronald B. Goodman, Esq., of the law firm Robinson Brog Leinwand Green Genovese & Gluck, P.C., located in New York,

AWARD In the Matter of the Arbitration Between Sharon Kay Prewett, Claimant. v. Case Number 96-05374 Prudential Securities, Incorporated, Respondent. REPRESENTATION OF PARTIES Claimant, Sharon Kay Prewett was represented by James R. Cornelieus, Esquire, Sole Practitioner, of Houston, Texas yet neither the Claimant nor her counsel appeared at the hearing. Respondent, Prudential Securities, Inc. was represented by David D. Sterling, Esquire of Bak

NASD REGULATION, INC. AWARD Case No. 96-05373 In the Matter of the Arbitration Between Name of Claimant Stefan Lumiere ! Names of Respondents Michael J. Alpert Emanuel & Company Goldis Financial Group, Inc. Matthew J. Emanuel Starlog Franchise Corp. REPRESENTATION For claimant Stefan Lumiere ("claimant") appeared Christopher J. Schulze, Esq., with offices located in New York, New York. For respondent Michael J. Alpert ("A

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimant Shannon K. Kelly 96-05371 Name of Respondents State Street Capital Markets Corp. John Doukas Thomas A. Cocuzza REPRESENTATION Claimant Shannon K. Kelly ("Claimant") appeared pro se ; ; : ; i^n \'-, For Respondents State Street Capital Markets; Corp. ("State Street") and John;;Doukas::^ - i;; ("Doukas") appeared Scott L. Silver, Esq., of the la

.N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05367 Cheryl Monahan and Kevin Buttner, claimants vs. Dean Witter Reynolds, Inc., A.S. Goldmen & Company, Inc. and Thomas Kelly, respondents. ATTORNEYS: Claimants appeared Pro Se - Massapequa, NY. Respondent Dean Witter Reynolds, Inc. appeared Pro Se, through its Assistant Vice President, Linda Poole, San Francisco, CA. For Respondent A.S. Goldmen & Co. I

ARBITRATION AWARD NASD REGULATION, INC, OFFICE OF.DISPUTE RESOLUTION In the Matter of the Arbitration Between /^ Name of Claimants Richard Rubinowicz & Eva Rubinowicz 96-05366 Name of Respondents Sterling Foster & Co., Inc.; Michael MacCaull; and Adam Richard Lieberman REPRESENTATION For Claimants: Richard Rubinowicz & Eva Rubinowicz (''Rubinowicz'') were represented by Andrew B. David, Esq. and Charles A. Valente, Esq. of Sugar, Friedbe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Maiolini, (Claimant) vs. M.S. Farrell & Co., Inc., Thomas A. Gallo, and Joseph W. Hagan, (Respondents) Case Number: 01-02243 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John J. Maiolini, hereinafter referred to as "Claimant": Brian M. Greenman, Esq., a sole practitioner, New York, NY. Respondents, M,S. Farrell & Co., Inc. ("Farrell") and Thomas A