N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michelle Vanottie and Adam Burakouski 96-02662 Name of Respondent Stratton Oakinont, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1996^ claimants Michelle Vanottie (formerly Michelle Burakouski) and Adam Burakouski ("claimants"), who appeared Pro Se, alleged that resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph E. and Marie Sylvester 96-02658 Name of Respondents Joseph Roberts & Company, Inc. Lascelles A. Knight CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1996, Claimants Joseph E. Sylvester and Marie Sylvester ("Claimants"), who appeared Pro Se alleged that they were

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Edward M. Tarnawski 96-02657 Name of Respondents Kensington Wells Incorporated Erik J. Drewes REPRESEPfTATIQN For Claimant Edward M. Tarnawski ("Claimant"), appeared Norman Trabulus, Esq., a sole practitioner located in Mineola, New York. For Respondent Kensington Wells, Inc. ("Kensington"), appeared Howard Eilen, Esq. of t

96-02653 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. Name of Respondent Jack J. Pensabene REPRESENTATION For Claimant Dean Witter Reynolds, Inc. (DWIO appeared Mark S. Mancher, Esq of Jackson, Lewis, Schnitzler & Krupman located in Woodbury, NY. Respondent Jack Pensabene appeared pro se. CASE INFORMATION The Statement of Claim was filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Guy De Lacrose, Claimant v. Kami Khatounabadi, Andrew S. Louis and Hampton-Porter Investment Bankers, Respondents Case Number: 01-02125 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: James J. Seltzer, Esq. Emeryville, California For Respondent Kami Khatounabadi: Kami Khatounabadi San Diego, California For Respondent Andrew S. Louis; Andre

I N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Anthony W. and Katharine Schweiger 96-02652 Name of Respondent Jordan Shaman REPRESENTATION Claimant's Anthony W. and Katherine Schweiger ("Claimants") were represented by Neal A. Jacobs, Esq., Blank, rome, Comisky & McCauley, Philadelphia, PA. Respondent Jordan Shamah ("Respondent") did not appea

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Esteban and Sonia Monell 96-02651 Name of Respondents Nations Securities Larry S. Kartin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1996, claimants Esteban and Sonia Monell ("claimants") through their representative and in-house counsel, Jeff Cahn of Investment Arbitration Consultants,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard D. Larson and 96-02639 Name of Respondent Bear Stearns & Company, Inc. Michael Jay Margolis REPRESENTATION OF PARTIES Richard D. Larson ("Claimant") was represented by J. Pat Sadler, Esq. and Eric R. Hovdesven, Esq. } Sadler & Associates, P.C., Atlanta, Georgia and William S. Lapp, Esq., Lapp, Laurie, Libra, Abra

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jill C. Sharkey and 96-02637 Name of Respondent American Express Financial Advisors, Inc. REPRESENTATION OF PARTIES Jill C. Sharkey ("Claimant") appeared pro se. American Express Financial Advisors, Inc. ("Respondent") was represented by Mark A. Mitchell, Esq., Rider, Bennet, Egan & Anmdel, L.L.P., Minneapolis, Minnesota. CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ctaimant(s) Richard Scharff 96-02635 Name of Respondent(s) Fidelity Brokerage Services, Inc. REPRESENTATION Claimant Richard Scharff ("Scharff") appeared pro se. For Respondent Fidelity Brokerage Services, Inc. ("Fidelity"): Scott M. Diamond, Esq. of Morgan, Lewis & Bockius, LLP, Miami, Florida CASE INFORMATION Statement of Clai