N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kehching Feng 96-02419 Name of Respondents Investors Associates, Inc. Alfred Blaikie, m Arthur Ostrowski CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on June 6, 1996, Claimant Kehching Feng ("Claimant"), who appeared Pro Se, alleged that Respondents Investors Associates, Inc. (

I Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name Claimant James D. Neuzerling Name, nf th^ Rp.sprmdents Barren Chase Securities, Inc.; Tradeway Securities Group, Inc.; Jeffrey S. Warren; Carlo Piraneo; Robert A. DiCarlo, Jr.; Michael H. Weston ! 01-02104 Hearing Site- Milwaukee, Wisconsin RF.PPF.RF.NTATOJ Claimant James D. Neuzerling ("Neuzerling") was represented by Mark E. Sanders, Esq. o

N.A.S.D. REGULATION, INC. FINAL AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Howard Kahalnik 96-02414 Name of Respondent John Hancock Funds, Inc. REPRESENTATION For Claimant: Howard Kahalnik ("Kahalnik") was represented by Thomas R. Meites, Esq. and Roberta A. Levinson, Esq. of Meites, Frackman, Mulder & Burger, located in Chicago, Illinois. For Respondent: John Ha

KT.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Marie C. Steiger Names of Respondents Pacific Coast Financial Securities Sean T. Duran, Douglas Ashman, Kirt W. Ashman, Thomas Cans, Don Morandini NASD Arbitration No. 96-02411 REPRESENTATION For Claimant Marie C. Steiger: Peter Dion-Kindem, Esq., Buchanan & Kindem, P.C. For Respondents: A. No appeara

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Arthur C. and Marilyn D. Dartley 96-02405 Name of Respondents Olde Discount Corporation Mark D. Haft Michael T. Manifold REPRESENTATION For Claimants Arthur C. and Marilyn D. Dartley ('claimants") appeared Frederick A. Nicoll, Esq. with law offices in Paramus, New Jersey. For Respondents Olde Discount Corporation ("Olde"), Mark D. Haft ("Haft") and Michael T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernard L. and Shirley A. Georskey 96-02400 Name of Respondents Chatfield Dean & Company, Inc AliD. Eryurt REPRESENTATION For Claimants: W. Andrew Clayton, Jr., Esq. of The Clayton Law Firm, P.A., Sarasota, FL. For Respondents Chatfield Dean & Company, Inc. ("Chatfield") and Ali D. Eryurt ("Eryurt"): Christa D. Taylor, Esq

NATIONAL ASSOCIATION OF SECURITIES DEALERS It 1 . r|;e \K-.rr-r --f rhc Arbitration Between Name of Claimant Torres Pines Securities, Inc. 96-02390 Name of Respondent David Toper CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 4, 1996, claimant Torrey Pines Securities, Inc. {Torrey") through its representative, Jack C. Smith of the company, alleged that respondent David Toper ("To

NASD REGULATION, INC. AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Oide Discount Corporation NASD Case No. 96-02386 Name of Respondents J&R Holdings, Inc. Joseph Russo REPRESENTATION For Claimant Olde Discount Corporation ("claimant") appeared Robert S. Anderson, Olde Discount Corporation, Detroit, Michigan. ? < Respondent J & R Holdings, Inc. did not enter an appearance. Respondent Joseph Russo ("Russo")

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John J. Collins and Case Number 96-023 82 Name of Respondent Smith Barney, Inc. John J. Collins ("Claimant") was represented by Richard Parker, Esquire of Richard Parker & Associates located in Houston, Texas. Smith Barney, Inc. ("Respondent") was represented by Suzanne S. Killian, Esquire of Odgen, Gibson, White & Broo

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Financial Network Investment Corporation v. Arbitration No. 96-02372 Name of Respondent(s) Sheldon G. Zimmerman June Sayer Zimmerman And Related Counterclaims REPRESENTATION For Claimant: Samuel Y. Edgerton, m, Esq. Nash & Edgerton Hermosa Beach, California For Respondents: James M. Peterson, Esq. Higgs, F