N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Scon and Jemiliya Pudalov 96-02219 Name of Respondents Auerbach, Pollack & Richardson Inc. Robert Arndt REPRESENTATION For claimants Scott and Jemiliya Pudalov ("claimants") appeared their representative Pierre Merle, Esq. a sole practitioner, located in New York, New York. For respondents

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants L. Clyde Groover, Jr. & Ida A. Groover 96-02218 Name of Respondents Adam Jagoda Raul Rabenga REPRESENTATION Claimants L. Clyde Groover, Jr. and Ida A. Groover ("Claimants") were represented by John F. Rodgers, Esq., Redmon, Boykin & Bras well, Alexandria, VA. Respondents Adam Jagoda ("Jagoda") a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Bill S. Bales and Nancy T. Bales, and Unimed, Inc. Pension Trust, Claimants, and Dean Witter Reynolds, Inc., Respondent. No. 96-02211 REPRESENTATION OF PARTIES Claimants Bill S. Bales and Nancy T. Bales, and Unimed, Inc. Pension Trust were represented by Clifford B. Faddis, Jr., Esquire, located in St. Louis, Missouri. Respondent Dean Witter

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Nicholas and Tania Steffora Arbitration No. 96-02208 and Name of Respondents Josephthal Lyon & Ross Michael A. Volpe Steven Jacobs REPRESENTATION OF PARTIES Nicholas and Tania Steffora ("Claimants") represented themselves, pro se. Josephthal Lyon & Ross and Michael A. Volpe ("JLR/Volpe") were represented by Robert E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard V. Dutchik 96-02207 Name of Respondents A.S. Goldmen & Company, Inc. Names of Third Party Respondents Richard Madison Joseph Piscopo REPRESENTATION For Claimant: Thomas R. Townsend, Jr., Esq., Rodrtedge, Rorida. For Respondent A.S. Goldmen & Company, Inc. ("Goldmen"): Carole R. Bernstein, Esq., Nqrwalk, Conn

0.4/27/98 MQN 11:03 FAI NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John F. Tessendorf, Claimant. and Case Number: 96-02204 Landmark International Equities, Yuri Aulov, and Eric Aronson, Respondents. REPRESENTATION OF PARTIES Claimant John F* Tessendorf ("Claimant") was represented by Michael H. Schaalman, Esq. and Walter J. Skipper, Esq. of Quarles & Brady located in

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Doren Elaine Steckler, Claimant, v. Case Number 96-02202 Olde Discount Corporation, Respondent. REPRESENTATION OF PARTIES Claimant Doren Elaine Steckler ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss located in Bingham Farms, Michigan. Respondent Olde Discount Corporation ("Respondent" or "Olde") was

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ciaimantfsl Clair Edward Herron, Jr. 96-02196 Name of Respondentfs) Stratton Oakmont, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on May 13, 1996, claimant Clair Edward Herron, Jr. ("Herron"), who appeared pro se, alleged that April Weiner ("Weiner"), a senior Vice President employed by re

AWARD NASD Regulation, Inc. Office of Dispute Resolution .. In the Matter of the Arbitration Between Name of Claimant Scott M Dubravac and 96-02195 Name of Respondent Strategic Resource Management, Inc. Timothy Brannon REPRESENTATION OF PARTIES Scott M. Dubravac ("Claimant") was represented by Andrew I. Telsey, Esq., Aurora, Colorado and Steven L. Zimmerman, Esq., Denver, Colorado. Strategic Resource Management, Inc. ("Respondent Strateg

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Gregory J. Wolfe v. NASD Regulation, Inc. Arbitration No. 96-02193 Name of Respondents Securities Planners, Inc. nka Buttonwood Securities Inc., David Grey and Michael R. Marcus REPRESENTATION For Claimant: Torgny R. Nilsson, Esq. Gartenberg, Jaffe, Gelfand & Stein Los Angeles, California For Respondent