AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of ClaimanUs) Mark Christiansen v. Arbitration No. 96-04599 Name of Respondents) Dickinson & Co. Donald Harwell Rial Burnett REPRESENTATION For Claimant: C. Keith Greer, Esq. San Diego. California Kor Respondents Dickinson & Co. And Rial Burnett: Barbara E. Bennett. Esq. Dickinson & Co. Des Moines. Iowa Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Continental Broker-Dealer Corp., (Claimant) vs. Lee Shapiro, (Respondent) Case Number: 01-02172 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Continental Broker-Dealer Corp., hereinafter referred to as "Claimant": Dominick Bianco, Executive Vice President and Chief Compliance Officer, Continental Broker-Dealer Corp., Carle Place, NY. Previously represent

N.A.S.D. AWARD y . NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John B. Malone 96-04598 Name of Respondent Euro American Capital Corporation James Famell Cross Financial Services, Inc. InterCapital Funding Corporation Delaware Charter Guarantee & Trust Company REPRESENTATION The Claimant appeared pro se. The Respondent James Farnell appeared pro se. For Respondent In

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arleen Maas, TTEE/Maas Family Revocable Trust and Arbitration No. 96-04597 Name of Respondents Berman & Stickel, Inc. Allen Berman Mark Stickel Susette Stickel Linda Olson 7 v REPRESENTATION OF PARTIES Scot D, 'Bernstein, ^Sacramento, California. - - — - - --:-••'•-•-.- ---- ; _^- -./ - - --' L^_^

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nina Armstrong, individually, Nina Armstrong, Co-executor of the Estate of MaryJane Gillig, James P. Gillig, Co-executor of the Estate of MaryJane Gillig, Estate of MaryJane Gillig and Arbitration No. 96-04596 Name of Respondent Prudential Securities, Inc. Loren "Biz" Obley REPRESENTATION OF PARTIES The Claimants wer

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Ed Carlton and Mary Carlton Claimants NASD Regulation, Inc. v. No. 96-04592 Steven Goldstein and S.G. Financial Group, Ltd. Respondents REPRESENTATION OF PARTIES Ed and Mary Carlton ("Claimants") were represented by Scot D. Bernstein, Esq., Law Offices' 6f Scot D. Bernstein, Sacramento, California. ' r : : ;..:;,:*• Steven Goldstein

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mary A. Pourciau, Claimant, v. No. 96-04589 Paine Webber, Inc., and Everett B. Gibson, Jr., Respondents. Claimant Mary A. Pourciau ("Claimant") was represented by Louis L. Plotkin, Esq. of Gertler, Gertler, Vincent & Plotkin, L.L.P. located in New Orleans, Louisiana. Respondent- Paine Webber; Inc. ("Paine Webber") was represented by George C. Fr

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Alex Feldman 96-04587 Name 01 Respondents Joseph Dillon & Company Inc. Steven Jaloza Salvatore Fradella Oleg Ferdman REPRESENTATION =BM^B^M^^^C:^^^^^^^E t For Claimant Alex Feldman ("Claimant") appeared Shari B. Kibel, Esq. and Martin P; Utig*ri'-Esq.-6f* ^.',*?-•< the firm Tenzer Greenblatt, LLP, located;,«r New

In the Matter of the Arbitration Between Namg of (Tlaimant Daniel E. Johnson Nae 96-04580 Smith Bainey Inc. REPRESENTATION Claimant Daniel E. Johnson ("claimant") appeared pro sc. For respondent Smith Baraey, Inc. ("respondent") appeared Christopher B. < ^MaBfcy,-Esq, of Smith Barney, Inc. CASE Statement of Claim was filed on; October 10, 1996, Claimant's Submission Agreement was signed on: November 9, 1996. Statement of Answer was fi

AWARD NASD Regulation, Inc. Office of Dispute Resolution , ; I 'J In the Matter of the Arbitration Between Name of Claimant Robert & Claudia Beauprez and Joseph & Maria Beauprez and 96-04579 Name of Respondent Jinco Securities, Inc. Wayne F. Morrison Jinco Leasing Corp. .REPRESENTATION OF PARTIES . Robert^jCraiidiaBeauprez.aridJoseph & Maria Beauprez.("Claiihants M ) ;J : ; • ^ Jinco Securities, Inc. ("Respondent