AWARD NASD Regulation,, Inc. In the Matter of the Arbitration Between Alfred Z. Kales, Claimant, v. No. 96-01695 Dean Witter Reynolds, Inc., and Lawrence D. Bain, Respondents, REPRESENTATION OF PARTIES Claimant Alfred Z. Kales ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman, Trogaiij Young & Schloss, P.C. located in Bingham Farms, Michigan, Respondent Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Raymon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dan Anderson and Sharon Anderson Ricky J. Getchell and Nora S. Getcheil 96-01693 Name of Respondents Lew Lieberbaum & Co., Inc. Drew D. Chalmers Sovereign Equity Management Corp. For Claimants: Guy M. Burns, Esq. of the law firm of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, Tampa, Florida. For Respondents Lew Liebe

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Carmen & Richard Spensieri Case No. vs. 96-01684 Names of Respondents Southwest Securities, Inc. Chamberlain & Grant Inc. Clayton Chamberlain REPRESENTATION For Claimants Carmen and Richard Spensieri ("Claimants") appeared Charles J. Engel, Esq., a private practitioner with offices located in Syracuse, New York. For Respondent Southwest Securities

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jesse Barajas, Claimant v. Antonio Betancourt and Max International Broker Dealer Corp., Respondents Case Number: 01-02045 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Jesse Barajas: David Liebrader, Esq. Law Offices of David Liebrader Foothill Ranch, California For Respondent/Counter-Claimant Antonio Betancourt: Antonio Bet

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Midway Federal Credit Union 96-01680 Name of Respondents W.J. Nolan & Company, Inc. William J. Nolan Matthew Gershon REPRESENTATION For claimant Midway Federal Credit Union ("claimant") appeared its counsel F. Douglas Ross, Esq. of the law firm Odin Feldman & Pittleman located in Fairfax, Virgini

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anil Kapnr Name of Respondents Morgan Stanley & Co.. Inc. Sohan Aggarwal 96-01678 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1996, Claimant Anil Kapur ("Claimant"), who appeared Pro Se, alleged that in November-of 1994, Respondent Morgan Stanley & Co., Inc. ("MSC") t

AWARD NASD Regulation, Inc. Office of Dispute Resolution* In the Matter of the Arbitration Between John G. Kinnard and Co., Inc., Claimant, and No. 96-01673 Mark A. Miller, Respondent. REPRESENTATION OF PARTIES Claimant John G. Kinnard and Co., Inc. was represented by F. Chet Taylor, AGC of John G. Kinnard and Co., Inc. located in Minneapolis, Minnesota. Respondent Mark A. Miller was represented by Garrett T. Geiger, Esquire of Sharp Law Fir

i . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Valerie V. Braybrooke 96-01670 Name of Respondents Kidder, Peabody & Co., Incorporated Stephen E. Brady CASE SUMMARY [n a case filed with the National Association of Securities Dealers Regulation, Inc. on April 17, 1996, claimant Valerie V. Braybrooke ("claimant"), who appeared Pro Se, alleged that respondents Stephen E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Irving Toplin 96-01669 Name of Respondent Nationwide Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 17, 1996, Claimant Irving Toplin ("Claimant"), who appeared Pro Se, alleged that Respondent Nationwide Securities ("Respondent") made an unauthorized trade in his accou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara X. Wiess as Personal Representative of The Estate of Louis Zinman Name of Respondent Fidelity Brokerage Services, Inc. 96-01668 © National Association of Securities Deafc« '-v;. All Rights Reserved CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on April 17, 1996, claimant