AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Elan Investment Services, Incorporated, Firstar Bank Iowa, N. A.,and Firstar Insurance Services, Incorporated and Case Number 96-02631 Name of Respondent Barbara Kazma REPRESENTATION OFPARTIES Claimants Elan Investment Services, Inc., Firstar Bank Iowa, N.A. and Firstar Insurance Services, Inc. were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Cann 96-02629 Name of Respondents Gregory D, Mirakian Investors Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 18, 1996, Claimant John Cann (''Claimant 11 ) who appeared Pro Se, alleged that on January 19, 1996, without his authorization, Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marshall Lester 96-02627 Name of Respondent Smith Barney Shear son, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 18, 1996, claimant Marshall Lester ("claimant"), who appeared Pro Se, alleged that respondent Smith Barney Shearson, Inc. ("Smith Barney") failed to d

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Steven Wallitt vs. Case No. 96-02625 Name of Respondents Landmark International Equities and Dominick Diorio REPRESENTATION OF PARTIES Claimant Steven Wallitt ("Claimant") appeared pro-se. Respondents Landmark International Equities ("Landmark") and Dominick Diorio ("Diorio"): Respondents did not appear. CASE INFORMATION Statement of Claim filed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edwin and Mary Snyder E.L. Snyder & Associates 96-02611 Name of Respondents Dean Witter Reynolds, Inc. Edward Goddard REPRESENTATION For Claimants: Stephen Murphy, Esq. of Pino & Dicks, Longwood, FL, For Respondents; Debra Roth, Esq. of Dean Witter Reynolds, Inc. CASE INFORMATION Statement of Claim filed: June 14,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02124 Richard Brown Name of the Respondent Hearing Site: Chicago, Illinois Clive Botha REPRESENTATION OF PARTIES Claimant Richard Brown ("Brown") was represented by Ernest E. Badway, Esq. of the firm Saiber Schlesinger Satz & Goldstein, LLC. Respondent Clive Botha ("Botha") appeared pro se. CASE INFORMATION Statement of Clai

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Stephen and Janet Kasparian 96-02600 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION Claimants Stephen and Janet Kasparian ("claimants") appeared pro se. ; : -5 r; v P'^ For Respondent Dean Witter Reynolds, Inc., ("respondent") appeared Paul G.«Th6ma$^Esq>, in-hoyse counsel for respondent. CASE INFORMATION Statement of Claim was filed on

N.A.S.D. Regulation AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Soft Solution, Inc. 96-02599 Name of Respondents Sherwood Capital, Inc. Triak Services Corp. d/b/a/ National Discount Brokers REPRESENTATION For claimant Soft Solution, Inc. ("Soft Solution") appeared Eric Hovdesven, Esq. of the law firm Sadler & Associates, P.C. located in Atlanta, Georgia. For

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Gary D. and Shirley H. McCutchen Name of Respondents L.C. Wegard & Co., Inc. Joseph Sceurman Leonard Greer Michael McDermott 96-02596 REPRESENTATION Claimants Gary D. and Shirley H. McCutchen ("Claimants") were represented by Andrew O. Whiteman, Esq., of the law firm of Hartzell & Whiteman, LLP, Raleigh, NC. Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of ihe Arbitration Between Name of Claimant Orville Ott 96-02595 Name of Respondent $Monitor Investment Group, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 17, 1996, claimant Orville Ott ("claimant") who appeared Pro Se, alleged that respondent Monitor Investment Group, Inc. ("MIG") allowed an authorized t