N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Donald Reichenbach 96-01434 Name of Respondents Vision Investment Group, Inc. Robert Rondinella Cantella & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on April i, 1996, Claimant Donald Reichenbach ("Claimant") who appeared Pro S

NASD REGULATION AWARD NASD REGULATION 96-01432 In the Matter of the Arbitration Between Name of Claimant Warren F. Spencer Name of Respondent World Invest Corporation REPRESENTATION For Claimant Warren F. Spencer ("claimant") appeared Floyd R. Brown of the law firm Brown & Pearson located in Carlsbad^ California. For Respondent World Invest Corporation ("WIC") appeared William Sumner Scott, Esq.. of the law firm The Scott Law Firm locate

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants ••^•••••••M^^^^H^M^V 4 Lloyd Muller (deceased), Corinne R. Mullet and Brad H. Muller 96-01426 Names of Respondents J. Gregory & Company, Inc. Nicholas R. Salerno Thomas C Johnson, Jr. Vincent Mongno Dianne A. Borden Lorette D. Fairis Warren R. Schreiber Bear Stearns Securities Coip,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph J. Sarek & Hellyn L. Sarek 96-01421 Name of Respondents J.B. Hanauer & Company Courtney K. Anderson REPRESENTATION The Claimants appeared pro se. For Respondents: Miriam Lefkowitz, Esq. of the law firm of Kenny Nachwalter Seymour Arnold Critchlow & Spector, P.A., Miami, Florida. CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elmer Cipala 96-01420 Name of Respondent Piper Jaffray Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 1, 1996 Claimant Elmer Cipala ("Claimant"), who appeared Pro Se, alleged that Respondent Piper Jaffray Inc. ("Respondent") made unsuitable investment decisions for the Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Francis Kent Manieson 96-01419 Name of Respondents Chatfield Dean & Co. Inc. Mark Greven CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on April 1, 1996, Claimant Francis Kent Manieson ("Claimant"), who appeared Pro Se, alleged that Respondents Mark Greven ("Greven") and Chatfield Dea

N.A.S.D. AWARD ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Walter A. and Olga E. Schmidt Family Trust 96-01417 Name of Respondent Cowen & Company Lam Wagner Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 1, 1996 Claimants Walter A. and Olga E. Schmidt of the Schmidt Family Trust ("Claimants"), through their representative, St

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles Melbuer and 96-01414 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Jerry E. Smith REPRESENTATION OF PARTIES Charles Melbuer ("Claimant") was represented by Joseph R. Winston, Esq., Winston & Liston, P.C., Colorado Springs, Colorado and Ronald A. Peterson, J.D., Colorado Springs, Colorado. Merrill Lyn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marvin Deutsch 96-01405 Name of Respondents APS Financial Corporation Peter K. Aman CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on March 29, 1996, claimant Marvin Deutsch ("claimant"), who appeared Pro Se, alleged that respondents APS Financial Corporation ("APS") and Peter K. Aman

Arbitration & Mediation National Association < 'f Securities Dealers,Inc. * NASD Financial Center * 33 Whitehall Street * New York.NY 10004 * Fax 2 12-858-4429 Washington DC Satellite office at: 1735 K Street, NW * Washington. DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard J. Burke %-01404 Name of Respondent Gregory Roth Gary L. Stark