NASD AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between JAYN. PATEL, Claimant, -and- CREDIT SUISSE FIRST BOSTON CORPORATION, RAYMOND J. DORADO, and GOLDMAN, SACHS & CO., Respondents. CREDIT SUISSE FIRST BOSTON CORPORATION and RAYMOND J. DORADO, Counterclaimants, -and- JAY N. PATEL, Counterrespondent. NASD No. 96-04716 REPRESENTATION For Claimant/Counterrespondent Jay

r NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In .the Matter of the Arbitration Between Name of Claimants Peter L. and Susan G. Lowenfeld CASE No. 96-04705 Name of Respondents Meyers Pollock Robbins, Inc. Dennis R. Roth REPRESENTATION Claimants Peter L. Lowenfeld, Jr. and Susan G, Lowenfeld ("Claimant"): John P. Connolly, Esq. of the Law Offices of John P. Connolly, Alexandria, VA. Respondents Meye

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Berry-Shino Securities, Inc. and 96-04704 Name of Respondent Cathy Schaffer, individually and d/b/af Village Partnership and Mountain High Partnership REPRESENTATION OF PARTIES Berry-Shino Securities, Inc. ("Claimant") was represented by Christopher J. Berry, Esq., Morrison & Hecker, L.LP., Phoenix, Arizona. V Cathy Schaffer

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Prudential Securities Incorporated. Claimant v. 96-04702 Kirk E. Dempsey, Respondent REPRESENTATION OF PARTIES Prudential Securities Incorporated ("Claimant") was represented by Steven P. Gomberg, Esq., Gomberg Kane & Fischer. Ltd., 208 South LaSalle Street. Suite 1800, Chicago, Illinois 60604:' Kirk E. Dempsey ("Respondent") was represented by

In the Matter of the Arbitration Between Name of Claimant ' Ravinder Sawhney Case No. vs 96-04699 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. vs Third-Party Respondents Prudential Securities, Inc. Saranleen Sawhney REPRESENTATION For Claimant Ravinder Sawhney ("Claimant") appeared David E. Robbins, Esq., of the law office Kaufmann, Feiner, Yamin, Gildin & Robbins located in New York, New York. For Respondent Merr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael K. Green and Margaret M. Green Name of Respondents j^, esSMMM^^VH^iMriBsaaMH Investors Associates, Inc Keith Grossman ~~x 96-04696 CASfE SUMMARY t In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 22, 1996, claimants Michael Green and Margaret Green ("claimants") wh

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Summit Investment Corporation and 96-04695 Name of Respondent Terry Halonen REPRESENTATION OF PARTIES Summit Investment Corporation ("Claimant") was represented by Joseph D. Fleming, Esq., Summit Investment Corporation, Minneapolis, Minnesota. Terry Halonen ("Respondent") appeared pro se. CASE INFORMATION The Statement o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Joseph Fierro vs. 96-04690 Name of Respondents T.L. Group, Inc. Penson Financial Services, Inc. Jeffrey Ihm REPRESENTATION Claimant Joseph Fierro ("claimant") appeared Pro Se. Respondents T.L. Group, Inc. ("TLG") and Jeffrey Ihm ("Ihm") did not appear at the evidentiary hearing conducted in t

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Mae and Elaine Beth Leass 96-04688 Name of Respondents Smith Barney Inc. Gerard Rubsam REPRESENTATION Claimants Mae and Elaine Beth Leass ("Claimants"), appeared pro-se. For Respondent, Smith Barney Inc. ("Smith Barney") and Gerard Rubsam ("Rubsam") (collectively the "Respondents") appeared Ann Parry, Esq., in-house-counsel located in N

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04687 GVG, Inc. Defined Benefit Pension Plan, claimant v. Paine Webber, Inc. and Clyde Duran, respondents. ATTORNEYS: For Claimant Appeared Gunther Von Gotsche, Trustee - Denver, CO. For Respondents Appeared Lisa Catalano Tillem, Esq. in-house counsel - Weehawken, NJ DATE FILED: October 21, 1996. CASE SUMMARY: Claimant alleged respondents failed to