N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04139 Nairn J. and Tamar M. Gubbay, claimants v. PaineWebber, Inc., Kim Michalak and Vikas Mehrotra, respondents. ATTORNEYS: For Claimants Claimants appeared Pro Se. - New York, New York. For Respondents Romaine Gardner, in-house-counseJ for Paine Webber Incorporated - Weehawken, New Jersey. DATE FILED: September 16, 1996. CASE SUMMARY: Claimant al

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Eileen P. Boland 96-04137 Name of Respondents First Montauk Securities Corp. Richard Jacaruso REPRESENTATION Claimant Eileen P. Boland ("Claimant") appeared pro se. For Respondents First Montauk Securities Corp. and Richard Jacaruso ("Respondents") appeared Monica R. Harris, Esq., in-house counsel at F

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04132 Mukesh K. Thaker, claimant vs. Richard Dearcop, respondent. ATTORNEYS: Claimant appeared Pro Se For Respondent Donald E. Grossfield, Esq. Rochester, NY DATE FILED: September 16, 1996 CASE SUMMARY: Claimant alleged misrepresentation, omission, unsuitability and sales pressure regarding Tellabs, Inc.("TLAB") and Telco Technology, Inc.("TTXI") stock

04/08/96 MON 14:34 FAI NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Richard Labrecque and Clifford Smith, Claimants, and No. 96-04130 Josephthal Lyon & Ross Inc., Dan D. Purje*, Averetl N. Satioff, and Mitchell Aguirre, Respondents, REPRESENTATION OF PARTIES Claimants, Richard Labrecque ("Labtecque,") and Clifford Smith ("Smith,") were represented by Bonnie £. Spenc

AWARD NASD Regulation, Inc. Office of Dispute Resolution in the Matter of the -Arbitration Between Joan Hutchison Claimant, and No. 96-04128 Dorsey & Company, Inc., and Steven Reub, Respondents, REPRESENTATION OF PARTIES Claimant Joan Hutchison ("Claimant") was represented by Jeffrey A, Schwartz, Esq. and Audrey N. Browne, Esq. of Schwartz & Browne, L.L.C. located in New Orleans, Louisiana. Respondents Dorsey & Company, Inc. ("Dorsey") a

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Eileen P. Will 96-04127 Names of Respondents Laidlaw Equities, Inc. Christopher Duncan Hell Robert C- Delaplain John A. Tornmasini REPRESENTATION For Claimant Eileen P. Will ("Claimant") appeared Sanford B. Potters. Esq.. a sole practitioner located in New York, New York. Tor Respondents Laidlaw Equities. Inc. O.aidl

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James M. Jordan, as custodian 96-04126 Name of Respondent Olde Discount Corporation CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 16. 1996, claimant James Jordan custodian for his son Collin Jordan (hereafter referred to as "claimant or

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph Charles & Associates, Inc. Case No. 96-04122 Names of Respondents Landmark Commodities, Inc. d/b/a Landmark Internationa] Equities William Nunziato Eric Aronson William Jordan REPRESENTATION OF PARTIES For Joseph Charles & Associates, Inc. ("Claimant"): Charles Snow, Esq. of Snow Becker Krauss P.C., New York, NY. For Eric Aron

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Mame of Claimants Barry Goodwin & Carol Goodwin 96-04120 Name of Respondents Stratton Oakmont, Inc.; Carl Anthony Sampogna; Michael Joseph Albino; Daniel Mark Porush REPRESENTATION For Claimants: Barry Goodwin and Carol Goodwin were represented by James F. Monafo, Esq. of Husch & Eppenberger, located in St. Louis, Missouri. For Resp

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Beverly Sidell-Fish and 96-04118 Name of Respondents Sutro & Co., and Mark K. Lammers REPRESENTATION OF PARTIES Beverly SideH-Fish( rt Claimant n ) was represented by David Anson, Esq., of DeConcini, McDonald, Brammer, Yetwin & Lacy, Tucson, Arizona. Sutro & Co., Incorporated ("Sutro") and Mark K. Lammers ("L