NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between i ; ./ ' - Name of Claimants Patrick Giacomo and Colleen Giacomo Ingram Case No. vs. 96-05022 Name of Respondents Gibraltar Securities Co. Barry Gold REPRESENTATION For Claimants Patrick Giacomo and Colleen Giacomo Ingram ("Claimants") appeared Gregory G. Campisi, Esq. of the law firm Sharkey & Campisi, located in Roseland, New Jersey.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05016 William F. Harrity, Jr., claimant v. Norfolk Securities Corp., Ian Hosang and Christopher Mormando, respondents. ATTORNEYS: Claimant appeared Pro Se - Sarasota, FL. Respondents Norfolk Securities Corp., Ian Hosang and Christopher Mormando did not appear. DATE FILED: November 11, 1996. CASE SUMMARY: Claimant alleged unauthorized trading and price mani

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05013 Hyman A. Lezell, claimant v. Michael Lipkin and Nutmeg Securities LTD., respondents. ATTORNEYS: Claimant appeared Pro Se - Boca Raton, FL. Respondent Michael Lipkin did not appear. For Respondent Nutmeg Securities Ltd. Matthew Rochlin - Westport, CT. DATE FILED: 11/11/96. CASE SUMMARY: Claimant alleged improper execution, misrepresentation and un

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Margie & Danielle Weinberg 96-05006 Name of Respondent Smith Barney, Inc. REPRESENTATION For Claimants Margie & Danielle Weinberg ("the Weinbergs"): Michael G. Shannon, Esq. of Wallace, Bauman, Fodiman & Shannon, P.A., Coral Gables, Florida. For Respondent Smith Bamey^ffic: ("SmthBairo^ Esq. of Smim'Bameyf Inc.; N

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Stephen E. Peters v. Arbitration No. 96-05004 Name of Respondents Prudential Insurance Company of America; PRUCO Securities; Steve Adams; Larry Henry REPRESENTATION For Claimant: Michael D. Rudy, Esq., Chun, Rudy & Byrns, Honolulu, Hawaii, and Craig K. Shikuma, Esq., Kobayashi Sugita & Goda, Honolulu, Hawaii For

V -M^OCT. 5.1998 9:32RM NRSD REGULATION FL ' NO.592 P.13 NASD REGULATION, INC. AWARD NASD Regulation,. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name flf Claimant James D. Deason 96-04999 Names of ^Respondents H J, Meyers & Co., Inc. f/k/a Thomas James Associates, Inc. Robert Setteducati Mark Allen REPRESENTATION For Claimant: Dan Brecher, Esq. and Eric Ross, Esq. of the law firm of Fischbein Badillo

r;/ f AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name ofClaimant Bruce W. Bubiick Ltd Retirement Trust 96-04996 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimant: The Bruce W. Bubiick Ltd. Retirement Trust ("Bubiick") was represented! by J. William Holland, Esq. of Holland & Holland, located-in Chicago,;'Illinois and A /i !i ^ i Kathle

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Regina & Joseph S. Gulino, JTWROS 96-04990 Name of Respondents John E. Guerriero, Jr. Tasin & Company, Inc. REPRESENTATION Claimants Regina, and Joseph S. Gulino ("claimants") appeared prose. ,,,. u:;.:, , rr For respondent Tasin & Co., Inc. ("Tasin") appeared Alphonse Mekalainas, Compliance Officer for Tasin. :=;;;, Respondent John E. Guerriero, Jr. ("G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Morgan Stanley Dean Witter, Inc. V. Respondent John T. Kitchar 01-02210 Minneapolis, Minnesota Counter Claimant John T. Kitchar V. Counter Respondent Morgan Stanley Dean Witter, Inc. Third Party Claimant John T. Kitchar V. Third Party Respondents Michael E. Peterson Brookstreet Securities Corporation Round Hill Securities,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between T. Robie Scott and Opal Scott, T. Robie Scott IRA, and Opal Scott IRA, Claimants, and No. 96-04987 Royal Alliance Associates, Incorporated and Francis Kelly, Respondents. REPRESENTATION OF PARTIES ' .• t • : . • . - . ; . . . . " ; " • ' Claimants, T. Robie Scott and Opal Scott, T. Robie Scott IRA, and