NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Leonard J. Petitti as Trustee of the Profit Sharing Plan UAD 1985, Petitti Family Trust, Rosine Petitti, Walter Bills and Vera Bills v. Name of Respondent Dominick Stillo II Arbitration No. 96-01806 For Claimants: For Respondent: REPRESENTATION Jeffrey L. Gaffney, Esq. Law Offices of Jeffr

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Finn R. Stordahl and Evelyn E. Stordahl, Claimants, and No. 96-01803 SunAmerica Securities, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Finn R. Stordahl and Evelyn E. Stordahl were represented pro se. Respondent SunAmerica Securities, Inc. was represented by John Nicgorski, Esquire of Mohr, Hackett, Pederson, Blakley, P.C., located in Pho

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Melvin P. and Cathy R. Gold 96-01802 Name of Respondents L.C. Wegard & Co., Inc. John Adams REPRESENTATION For claimants Melvin P. and Cathy R. Gold ("claimants") appeared their representative George M. Kontos, Esq. of the law firm Swensen Perer & Johnson located in Pittsburgh, Pennsylvania. Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Case Number: 01-02050 Roland G. Pettit Respondents Hearing Site: Chicago, Elinois Robert W. Baird & Company, Inc. and Thomas J. Stanley REPRESENTATION OF PARTIES Claimant, Roland G. Pettit Pettit, hereinafter referred to as "Claimant": Stephen J. Thomas, Esq. with the Thomas Group located in Peoria, Illinois Respondents, Robert W. Baird & Company, Inc. ("B

AWARD NASD Regulation. Inc. . In the matter of the Arbitration Between Name of Claimant(s) H.J. Meyers & Co., Inc. Arbitration No. 96-01798 Name of Respondent fs) Daniel E. Wood REPRESENTATION For Claimant: Paul J. Delmore, Esq., Edwards, White & Sooy, San Diego, California For Respondent: Daniel E. Wood, La Jolla Securities Corporation, La Jolla, California CASE TNPQRMATION Statement of Claim filed: April 18, 1996 Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara L. Durham 96-01789 Name of Respondents Josephthal Lyon & Ross, Inc. Brian K. Ronoke REPRESENTATION For Claimant: Stephen D. Spivey, Esq., Ocala, FL. For Respondent Josephthal Lyon & Ross, Inc. ("Josephthal"): Robert E. Murphy, Esq., in-house counsel at Josephthal. The Respondent Brian K. Ronoke ("Ronoke") did no

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between David Wojcik Claimant, v. No. 96-01785 Olde Discount Corporation, Mark Katzman, and Russ Miller, Respondents. REPRESENTATION OF PARTIES Claimant David Wojcik ("Claimant") was represented by Laurence S. Schultz, Esq. of Driggers, Schultz & Herbst located in Troy, Michigan. Respondents Olde Discount Corporation ("Olde"), Mark S. Katzman ("

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Henry 96-01783 Name of Respondents PaineWebber, Inc. James M. Skyrm REPRESENTATION For Claimant Michael Henry ("Claimant") appeared William J. Rold, Esq. and Peggy Brady, Esq., of Silver stein Langer Lipner & Newburgh, located in New York City, New York. For Respondent PaineWebber, Inc. ("PaineWebber") an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aubrey W, Reece TTEE/Aubrey W. Reece Trs 96-01781 Name of Respondent A.S. Goldmen & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1996, claimant Aubrey W. Reece as Trustee for the Aubrey W. Reece Trust ("claimant") alleged that respondent A.S. Goldmen & Compan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Chia-Hwa "Peter" Lao Name of Respqndeiit Chinese & American Investments, Inc. Lido Securities Corp. WeaSun 96-01780 REPRESENTATION For claimant Chia-Hwa "Peter" Lao ("claimant") appeared Walter D'Ull, Esq,, a sole practitioner located in New York, New York. For respondent Chinese < fe American Investments, Inc. ("CAT) ap