AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant David Martinez v. Arbitration No 96-02515 Name of Respondents CAI Securities Corporation Lawrence J. Lucas Ernest V. Lavagetto Brian C. Tarbox REPRESENTATION OF PARTIES David Martinez ("Claimant") was represented by Richard Sacks and Invin Stein, Investors Recovery Service, Novato, California. CAI Securities Cor

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Michael and Lorraine O'Connell NASD Case Number 96-02514 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Arthur Barzilay REPRESENTATION Claimants Michael and Lorraine O'Connell ("the O'ConneUs") appeared pro se. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and Arthur Barzilay ("Bar

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert L. Young vs. Case No. 96-02505 Name of Respondents The Prudential Insurance Company of America, Inc., individually and as Administrator of the Prudential Disability Benefits/Group Insurance, Plan REPRESENTATION For Claimant Robert L. Young ("Claimant") appeared Lawrence P. Cohen, Esq. and Kevin M. Halm, Esq., of the firm Courier, Kobert, Lauf

Arbitration & Mediation Nnrioiwl AuHtciatinn "f' S^urities Dealers.lnc. * NASD Financial Center * 33 Whitehall Street * New Y-rk.NY 10004 * Fax 212-858-4.129 Washington DC Satellite office «t: 1735 K Street. NW * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George W. Morris 96-02504 Name of Respondent Marco Fiore CASE SUMMARY In

N\°^ N.A.S.D. REGULATION AWARD ° QUl U NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Andrew and Ernestine Hacskaylo 96-02503 Name of Respondents Smith Barney, Inc. (fka Shearson Lehman Brothers, Inc.) Gregory Torretta Walter J. Oliphant Gary W. Oliphant REPRESENTATION Claimants Andrew and Ernestine Hacskaylo ("Claimants") were represented by John H. Griffing, Esq.,

AWARD NASD Regulation, Inc. Office of Dispute Resolution- In the Matter of the Arbitration Between Brian G. Egbert, individually and as Trustee of the Brian G. Egbert Revocable Trust, Claimants, vs. No. 96-02494 Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Brian G. Egbert, individually and as Trustee of the Brian G. Egbert Revocable Trust, was represented by John J. Miller, Esquire, of Law Offic

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-02489 Prudential Securities Inc, claimant v. Standard Industrial Capital Co., respondent. ATTORNEYS: For Claimant appeared Linda Gallagher, Esq. of Chicago II. Respondent did not respond to the Statement of Claim. DATE FILED: 6/11/96 CASE SUMMARY: Claimant alleged that it incurred a debit balance after two checks tendered by the respondent were returned du

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between nf Robert M. Paulson v. Name Christian Kuretski, Anthony Marchiaoo, Stuart Winkler, Steven Markowitz, and A.S. Goldmen & Co., Ine._ Arbitration No. 96-02487 For Claimant Robert M. Paulson: In Pro Per For Respondent Christian Kuretski; In Pro Per CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signe

NASD Arbitration No. 96-02486 N-A-S.D- AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. In the matter of the Arbitration Between Name of Claimants) Pedro G. Borrego and Carmen L. Borrego Name of Respondentfs) McLaughlin, Piven, Vogel Securities, Inc. and M. Sonny Arias REPRESENTATION For Claimant: Pedro G. Borrego, in pro per Ingiewood, California For Respondent McLaughlin, Piven, Vogel Securities, Inc.: Joseph D'Elia, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tVip ^ Iflirtlflnt Pa< ;p>s[^imhp!r' 01-2109 Stellar Services, Inc. ifflg ftitf" Washington, DC Douglas Anthony Leone OF PAPTIF.S Claimant, Stellar Services Inc. ("Stellar"), hereinafter referred to as "Claimant": John Verleun, Stellar Services Inc., Rockville, MD. Respondent, Douglas Anthony Leone ("Leone"), hereinafter referred to as "Respondent": Dan A. Druz, Esq.,