NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant William J. Turkowski 96-04555 Lew Lieberbaum & Co., Inc. Brian T. McCluskey Robert Wetzel REPRESENTATION Claimant William J. Turkowski^("claimant") appeared^prose. Prior to the hearing in this matter claimant withdrew with prejudice all claims against respondent Lew Lieberbaum & Co., Inc. ("Lew Lieberbaum"). Therefore, no representative appeared at the hearin

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between . Name of Claimant F. Paul Belk, Jr. 96-04553 Name of Respondents Steven Vornea Name of Third-Party Respondents Abraham Mirman Denny Darmodihardjo REPRESENTATION For Claimant F. Paul Belk, Jr. ("Claimant") appeared J. Pat Sadler, Esq., of the law offices of Sadler & Associates, P.C., Atlanta, GA. - For Respondent Steven Vorn

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Larry, Carole, Rainy, Randy & Wendy Waitz 96-04548 Name of Respondents Prudential Securities, Inc. James Fulton REPRESENTATION Claimants Larry, Carole, Rainy, Randy & Wendy Waitz (collectively "Claimants") were represented by Thomas J. Schuchen, Esq., Schuchert Humphreys, Pittsburgh, PA. Respond

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants D. Vincent Cerrito and Theresa Fe McCarthy vs. #96-04542 Name of Respondents Daniel M. Porush Ira Boshnack REPRESENTATION OF PARTIES Claimants D. Vincent Cerrito and Theresa Fe McCarthy ("Claimants") were represented by Timothy J. O'Connor, Esq., Ainsworth Sullivan Tracy Knauf Warner & Ruslander, PC, Albany, NY. Respondents

N.A.S.D. REGULATION AWARD NATIONAL ASSCCIATIQN OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04540 Milton K. & Sylvia G. Welson, Individually and as Trustees - The Milton K. Welson Family Trust and The Sylvia Welson family trust, claimants v. Smith Barney Shearson, Inc. and Richard A. Eckstein, respondents. ATTORNEYS: For Claimants James D. Keeney, Esq., Sarasota, FL. For Respondents Rohan Barnett, Esq. in-house counsel for Smith Barney - New

U >.'-> N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04530 Nagel Family Trust, claimant vs. Piper Jaffray, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se through its trustees, Kenneth & Rachel Nagel. For Respondent Todd A. Noteboom, Esq., of the firm Leonard, Street and Deinard, Minneapolis, MN DATE FILED: October 11, 1996 CASE SUMMARY: Claimant alleged misrepresentation and omissions

•:0 V v ' : ; ' 0 v \ \ AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) E. John and Ruth Gillis Arbitration No. #96-04528 Name of Rcspondent(s) Dean Witter Reynolds, Inc. Rick DeFreez REPRESENTATION For Claimants: Timothy A.. McKeever, Esq., Faulkner, Banfield, Doogan & Holmes, Anchorage, Alaska For Respondents: ~~Timiri"A7^V

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between George H. Baldwin, Jr., and George H. Baldwin, Jr. Revocable Trust, Claimants, and No. 96-04527 D.H. Blair & Co., Inc. and Craig Webber, Respondents. REPRESENTATION OF PARTIES Claimants, George H. Baldwin, Jr, ("Baldwin 1 *) and George H. Baldwin, Jr. Revocable Trust (hereinafter collectively referred to as "Claimants"), were represe

N,A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04525 Olde Discount Corporation, claimant y. Geraldine B. Myers, respondent. ATTORNEYS: For Claimant Steven D. Carby, Esq. in-house counsel, Detroit, MI. Respondent appeared Pro-se - Atlantic Beach, FL. DATE FILED: October 11, 1996. CASE SUMMARY: Claimant alleged that claimant's account was improperly credited by journal entry and respondent withdrew t

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Berel Light Sarah Light Nochber Corp. Cabot Consulting, Inc. vs. Case No. 96-04512 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Abraham I. Fishweicker William Hall REPRESENTATION For Claimants Berel and Sarah Light ("Light"), Nochber Corp. ("Nochber"), and Cabot Consulting, Inc. ("Cabot") (collectively "Claimants") appe