NASD REGULATION FINAL ORDER In the Matter of the Arbitration Between Name of Claimant Gorlin-Okun, Inc. 96-05225 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION For claimant Gorlin-Okun, Inc. ("claimant") appeared Michael Okun, President of claimant. For respondent Merrill Lynch Pierce Fenner & Smith ("respondent") appeared! Howard C. Sawransky, Esq., Assistant ; Vice President for respondent located in New

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Leo F. Brae 96-05224 Name of Respondent Donaldson Lufkin & Jenrette Securities REPRESENTATION Claimant Leo F. Brae ("Claimant") was represented by Jonathan Kord Lageman, Attorney-at-Law, New York, New York. Respondent Donaldson Lufkin & Jenrette Securities ("Respondent") was represented by Joseph D. Donnelly, Esq., Associate General Counsel at Donaldson, Lu

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William A. Rutherford 96-05221 Name of Respondents Cowen & Company David Green Michael McCarty REPRESENTATION For Claimant William A. Rutherford ("Claimant"): Donald J. Crawford, Esq. of The Adams Law Center, Rockville, MD For Respondents Cowen and Company ("Cowen"), David Green ("Green") and Michael McCarty

NASD Regulation, Inc., Award In the Matter of Arbitration Between James M. Letsos, III Claimant, and No. 96-05220 Smith Barney, Inc. Commonwealth Associates and Guy Clemente, .-,. Respondents. REPRESENTATION OF PARTIES Claimant, James N. Letsos, III ("Letsos") was represented by Paul D. Flack, Esq. of Clements O'Neill Pierce & Nickens located in Houston, Texas. Respondents, Commonwealth Associates ("Commonweaith")and Guy Clemente ("Cleme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riaimant David M. Weiss Name of the ResprmrierrK PNC Capital Markets, Inc., and The PNC Financial Services Group, Inc. Case Number 01-02236 Hearing Site- Pittsburgh, Pennsylvania RFPRFSFNTATTON OF PARTTFS Claimant David M. Weiss, hereinafter collectively referred to as "Claimant", was represented by Jeffery L. Liddle, Esq., Liddle & Robinson, L.L.P., New

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Dorothea M. Hague Case No. vs. 96-05219 Name of Respondents Vincent Grucci and Matthew Leo REPRESENTATION For Claimant Dorothea M. Hague ("Claimant"), Herbert M. Deutsch, Esq. from the law firm of Deutsch & Lipner located in Garden City, New York. For Respondent Vincent Grucci ("Grucci"), James J. Carroll, P.C. located in Beilport, New York until on

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Jacques de Saint Phalle Case No. vs. 96-05214 Name of Respondent BT Securities Corporation For Claimant Jacques de Saint Phalle ("Claimant") appeared Daniel A, Pollack, Esq., of the firm Pollack & Kaminsky with offices located in New York, New York. For Respondent BT Securities Corporation ("Respondent") appeared Kenneth Turnbul

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Allan McCulloch and 96-05213 Name of Respondent T.L. Group, Inc. Anthony Leone REPRESENTATION OF PARTIES Allan McCulloch ("Claimant") was represented by Frank Abramson, Esq., Lapp> Luriej < Li Abramson & Thomson, Minneapolis, Minnesota, i ;on r> \-\ tX. Group, Inc. ("Respondent T.L. Group") was represented by Fred Lefevre, it

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05211 Gaile Canfield, claimant vs. Nations Securities and Beth A. Mayberry, respondents. ATTORNEYS: Claimant appeared Pro Se, Sarasota, FL. For Respondents appeared Richard B. Warren, Esq., of the firm Kelley, Aldrich & Warren, P.A., West Palm Beach, FL. DATE FILED: November 22, 1996. CASE SUMMARY: Claimant alleged that respondents recommended "round trip"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant MJ. Whitman, Inc. 96-05205 Name of Respondent Brian Bornstein REPRESENTATION For claimant MJ. Whitman , Inc. ("claimant") appeared its representative and in-house counsel, Ian G. Kirschner, Esq. Respondent Brian Bornstein ("respondent") appeared Pro Se. CASE INFORMATION Statement of Claim fil