N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naine of Claimant Jeffrey P. Schlansky 96-02344 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1996, Claimant Jeffrey P. Schlansky ("Claimant"), who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. ("Respondent" or "DWR") imprope

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Richard Kreekon, Claimant, and No. 96-02336 Herzog, Heine, Geduld, Inc., E*Trade Securities, Inc., Respondents, REPRESENTATION OF PARTIES Claimant Richard Kreekon was represented by Michael D. McKinley, Esquire , Julie C. McKain, Esquire and Timothy D. Zeiger, Esquire of McKinley Ringer Zeiger, P.C., located in Dallas, Texas. Respondents Herzog,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Daniel B. Darling and 96-02335 Name of Respondent Cohig & Associates, Inc. James Arville Wallstrom REPRESENTATION OF PARTIES Daniel B. Darling ("Claimant") was represented by Noel Guardi, Esq., Denver, Colorado. Cohig & Associates, Inc. ("Respondent Cohig") and James Arville Wallstrom ("Respondent Wallstrom")(collectively as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William R. Thiede, III, Claimant v. Ernie Oregel and Henry Back Fahman, Respondents Case Numher: 01-02094 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: William R. Thiede, III In Propria Persona Oceanside, California For Respondent Ernie Oregel: Ernie Oregel In Propria Persona Mission

N.A.S.D. REGULATION AWARD NATIONAL. ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Trudy King 96-02330 Name of Respondent National City Investments Corp. REPRESENTATION Claimant Trudy King ("Claimant") appeared pro se. For Respondent National City Investments Corp. ("Respondent") appeared Harry John Watson, III, Esq., in-house counsel for National City Investments Corporation, located i

701 NASD REGULATION, INC., DISPUTE RESOLUTION ARBITRATION AWARD In the Matter of the Arbitration Between DEAN WITTER REYNOLDS INC, Claimant, Case No. 96-02329 -and- AWARD ALLEN SEALS, Respondent. For Claimant: Dean Witter Reynolds Inc. was represented by Diane C. Fischer, Esq. of Gamberg Kane & Fischer, Ltd., 208 South LaSaJle Street, Suite 1800, Chicago, Illinois 6Q6Q4, For Respondent: Dr. Allen Beats appeared Pro Se. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Curtis Eugene and Ann Elaine Spencer 96-02327 Mama of Respondent Black & Company CASE SUMMARY Tn a case filed with the National Association of Securities Dealers, Inc. on May 31, 1996, claimants Curtis Eugene and Ann Elaine Spencer ("claimants"), who appeared Pro Se, alleged that respondent Black . & Company {"respondent") mad

NASD REGULATION. INC., AWARD OF DISPUTE RESOLUTION In. the Matter of the Arbitration Between Name of Claimant Horizon Securities, Inc. 96-02319 Name of Respondents Peter J. De Angel is William R. Madden Harvey B. Merkin REPRESENTATION For Claimant Horizon Securities ("Horizon"), appeared Aaron Karp, Esq., of the law firm, Karp and Sommers, located in New York City, New York. For Respondent Peter J. De Angelis ("De Angelis"), appeared

NASD Regulation, Inc. Award OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Francesco Rappa Rosa Rappa Vincenzo Rappa 96-02318 Name yf Respondents Marsh Block & Co., Inc. John Averyt For Claimants Francesco, Rosa, and Vincenzo Rappa ("Claimants") appeared Nicholas D. Thomas, Esq., of Raleigh, North Carolina. For Respondents Marsh Block & Co.( M MBC"), and John Averyt (" Averyt 11

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James P. Martin as representative for Heartland Partners 96-02317 Name of Respondents Rodman & Renshaw Inc. John Daniel Hansen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 30, il 1996; Claimant James P. Martin as representative for Heartland Partners ("Claimant"), wh