N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Husa 96-02276 Name of Respondents Capitol Bay Securities, Inc. Stephen C. Kircher Lisa McGarcar CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1996 Claimant Michael A. Husa ("Claimant"), who appeared Pro Se, alleged that Respondent? Capitol Bay Securities ("

_PLIG. 18.1998 9 = 30Af1 NflSD REGULRTION FL _ .NO.990 P.9 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Brands Rose 96-02274 Names of Respondents Lehwald Orosey & Pepe, Inc. LOP Capital Markets, Inc. Henry W. Lehwald, John Orosey, and Gerard J. Pepe REPRESENTATION For Claimant: Jack R. Elliott, Esq. of Broad & Cassel, Orlando, Florida. For all Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Okie Discount Corporation 96-02265 Name of Respondent Geri B. Dickinson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1996, Claimant Olde Discount Corporation ("Claimant") through its representative and in-house counsel, Robert S. Anderson, Esq., maintained that on or about F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen & Anita Taub 96-02259 Name of Respondents Southwest Securities, Inc. Nationwide Securities Corp. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on May 28, 1996, claimants Stephen and Anita Taub ("claimants") through their representative and counsel Robert J. Brockm

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation 96-02258 Name of Respondent James May REPRESENTATION For Claimant Olde Discount Corporation ("claimant") appeared Robert S. Anderson, Esq., Vice President and Assistant General Counsel of Olde Discount Corporation. Respondent James May ("respondent") appeared pro se. CASE INFORMATION Sta

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Williams Publishing, Inc. dba Big Graphics, Claimants v. Sam Pieh and First Union Securities, Inc., Respondents Case Number: 01-02090 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Craig Berne, Esq. Harris Berne Christensen, LLP Portland, Oregon For Respondents: Lawrence R. Cock, Esq. Cable, Lagenback, Kinerk & Bauer, LLP Seattle, Washin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald & Co. Securities, Inc. 96-02256 Name of Respondents Louis P. Arena REPRESENTATION For Claimant, Donald & Co. Securities, Inc., appeared Kenneth A. Elan, Esq., a sole practioner located in New York, New York. Respondent Louis Arena appeared pro se. CASE INFORMATION Statement of Claim filed: May 22, 1996 Claim

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEAT mgCUATTON. INC. CASE: 96-02252 Frank and Joyce Dubois, claimants v. DMG Securities, Inc., Steven Petney, Samuel Carrier and John Csenge, respondents. ATTORNEYS; For Claimants appeared Brian G. Mooney, Esq. - Tampa, FL. For Respondents DMG Securities, Inc., Steven Petney and John Csenge appeared Gregory Tendrich, Esq. - Boca Raton, FL. Respondent Samuel Carrier appeared pro se - Tampa,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Robert R. and Jean A. Olen Case No. 96-02248 Name of Respondents Maidstone Financial Inc. Mark Allen Lefkowitz Michael Accurso REPRESENTATION For Claimants Robert R. and Jean A. Olen ("Claimants") appeared Christopher J. Calabrese, Esq. and David Stem, of Elliot, Stern, Calabrese & Higgins located in Rochester, New York. For Respondents Maidsto

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sherwin J. and Shirley Fischer 96-02247 Name of Respondents Nationwide Securities Corp. Chris Ray CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1996, claimants Sherwin J. and Shirley Fischer ("claimants"), who appeared Pro Se through Sherwin Fischer ("claimant"), alleged