NASD REGULATION AWARD National Association of Securities Dealers Regulation, Inc. In the Matte- of the Arbitration Between Name of Claimant John H. Rasnick 96-02241 Name of Respondents Dean Witter Reynolds Inc. Byron Boothe REPRESENTATION For Claimant, John H. Rasnick ("Claimant"), appeared Gary C. Johnson, Esq., located in Pikevilie, Kentucky, For Respondents, Dean Witter Reynolds Inc.("DWR") and Byron Boothe ("Boothe") appeared Annemar

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc Name of Respondent Thomas Farrell 96-02240 REPRESENTATION For cJaimajit Dean Witter Reynolds Inc. ("claimant") appeared Marc S. Wenger, Esq. of the law firm of Jackson, Lewis, Schnitzler & Krupman located in Woodbury, New York. For respondent Thomas Farrell ("respondent") appeared M. David Hyman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael W. Caiahan 96-02237 Name of Respondents Global Strategies Group, Inc. Paul Gorr Alex Rubinshteyn CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on May 28, 1996, claimant Michael Caiahan ("claimant"), who appeared Pro Se, alleged that respondents Global Strategies Gr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant C.D. Roberts 96-02233 Name of Respondents Dean Witter Reynolds, Inc. Byron Boothe REPRESENTATION For Claimant C.D. Roberts ("Claimant") appeared Gary C. Johnson, Esq., located in Pikeville, Kentucky. For Respondents Dean witter Reynolds, Inc. and Byron Boothe ("Respondents") appeared James Yellen, Esq., in-ho

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants John H. and Judith Ann Bruckner 96-02230 Names of Respondents Josephthal Lyon & Ross Inc. Sheldon Berman Donald A. Peterson REPRESENTATION For Claimants John H. and Judith Ann Bruckner ("the Bruckners"): Eugene Michael Kennedy, Esq. of Fort Lauderdale, Florida. For Respondents Josephthal Lyon & Ross, Inc. ("Jo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Carla J. Walter Estate of Michael J. Walter Case No. 01-02086 Name of Respondent Bane of America Investment Services Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Carla J. Walter ("Walter") and the Estate of Michael J. Walter (the "Estate"), hereinafter collectively referred to as "Claimants": Philip J. Snyderburn, Esq., Snyd

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: L. Richard Kawka, (Claimant) vs. Prudential Securities Incorporated, Gruntal & Co., L.L.C., and Harry Krigman, (Respondents) vs. Daniel J. Coyne (Third-Party Respondent) Case Number: 00-00792 Hearing Site: Boston, Massachusetts Claimant, L. Richard Kawka, hereinafter referred to as "Claimant": John A. Hobson, Esq., Perkins, Thompson, Hinckley & Keddy, Portland, ME. Respondent,

AWARD NASD Regulation, Inc. Office of Dispute Resolution" - In the Matter of the Arbitration Between S. Bowman Reid, Claimant, v. No. 96-02229 Charles A. Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimant S. Bowman Reid was represented by Robert L. Crawford, Esquire of Wyatt, Tarrant & Combs, located in Memphis, Tennessee. Respondent Charles A. Schwab & Co., Inc. was represented by Angela G. Miele, Esquire of Kutak Rock,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Stifel, Nicolaus & Co., Inc., Claimant and Counter-Respondent, and No. 96-02227 Joseph J. Weinrich, Sr., Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant, Stifel, Nicolaus & Co., Inc., was represented by John W. Shaw and Bryan Cave, Esquires, located in Kansas City, Missouri. Respondent, Joseph J. Weinrich, Sr, was represented pro

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Melvin Wallshein Melissa Wallshein Melvin Wallshein, Rollover Melvin Wallshein, DDS PC Profit Sh Trust Melvin Wallshein, DDS PC Pension Trust Melvin & Evelyn Wallshein Foundation Sp Melvin Wallshein, IRA Melissa J. Wallshein, IRA 96-02220 Name of Respondents Smith Barney Inc. Ronald M. Friedman REPRESENTATION For Claimants Melvin Wallshein, M