AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Kathleen Lo Re, Claimant, and Case Number: 96-04866 Merrill Lynch, Pierce, Fenner & Smith, Inc., Henry Otten, Respondents. REPRESENTATION OF PARTIES Claimant Kathleen Lo Re ("Claimant") was represented by Mark E. Sanders, Esq. and Mary Beth Peranteau, Esq. of Hailing & Cayo, S.C. located in Milwaukee, Wisconsin. Respondents Merrill Lynch, Pi

ARBITRATION AWARD NASD REGULATION, INC., OFFICE-OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Donald G. Wilson 96-04865 Name of Respondents Sterling Foster & Co., Inc.; Charles Volpe; Phil Valentin; Adam Lieberman;.and James Buschle REPRESENTATION For Claimant: Donald G. Wilson was represented by Robert J. Kuker, Esq. of Neal Gerber & Eisenberg, located in Chicago, Illinois. For Respondents

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard A. Swanson and 96-04864 Name of Respondent Robert Thomas Securities, Inc. James Steinkirchner REPRESENTATION OF PARTIES Richard A. Swanson ("Claimant") was represented by Robert R, Nardi, Esq., Willeke & Daniels, Minneapolis, Minnesota. Robert Thomas Securities, Inc. ("Respondent Robert Thomas") and James Steinki

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Proceeding Between May Financial Corporation, Claimant, Vs. Development Consulting, Inc., Respondent. Case Number: 01-02204 Hearing Site: Cleveland, Ohio REPRESENTATION OF THE PARTIES Claimant May Financial Corporation ("May") was represented by Corbet F. Bryant, Jr., Esquire, of Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Respondent Developm

I / N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04863 Ronald LaBella, claimant vs, A.S. Goldmen & Co. Inc., respondent. ATTORNEYS: For Claimant appeared William P. Torngren, Esq., Old Sacramento, CA. For Respondent appeared Carole R. Bernstein, Esq., Norwalk, CT. DATE FILED: November 1, 1996 CASE SUMMARY: Claimant alleged failure to supervise, breach of fiduciary duty and unauthorized sale of Sp

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Vera I. Vitt, by James J. Anders, Personal Representative 96-04858 Name of Respondents J.J.B. Milliard, W.L. Lyons, Inc. Richard C. Hirschl REPRESENTATION For Claimant: Estate of Vera I. Vitt, by James J. Anders, Personal Representative ("Vitt") was represented by Isadore I. Lamke, Esq., located in Washington, Missouri. For Respondents: JJ.B.

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard A. Colan 96-04855 Name of Respondents GKN Securities Corp. L. J. Obenauer REPRESENTATION Claimant Richard A. Colan ("claimant") appeared pro se. For Respondent GKN Securities Corp. ("GKN") appeared Katherine Nathan, Esq., GKN Securities Corp., New York, N.Y. Respondent L.J, Obenauer ("Obenauer") did not appear at

04*27/98 MON 11:06 FAX NASD REGULATION ig|013 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Stephen Roach, Jr., and Dorothy A. Roach, Claimants, v. No. 96-04852 Dean Witter Reynolds, Inc., and. Giovanni Volpe, Respondents. REPRESENTATION OF PARTIES i Claimants Stephen Roach, Jr. and Dorothy A. Roach ("Claimants'*) were represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Y

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04847 Nicholas Freund, claimant vs. Meyer Pollock Robbins, Inc and Todd Steel, respondents. ATTORNEYS: Claimant appeared Pro Se. - Walnut Creek, CA. For Respondent Me^er Pollock Robbins, Inc appeared Louis H. Miron, Esq. - Westfield, NJ. Respondent Todd Steel appeared Pro Se - Fort Lauderdale, FL. DATE FILED: 10/31/96 CASE SUMMARY: Claimant alleged unsuita

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between James S. Sanger and Sarah S. Sanger, Claimants, and No. 96-04846 Charles Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimants, James S. Sanger and Sarah S. Sanger, were represented by James R. Eagleton, Esquire of Eagleton, Eagleton & Harrison, Incorporated, located in Tulsa, Oklahoma. Respondent, Charles Schwab & Company, Incorporate