NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Interstate/Johnson Lane 96-01374 REPRESENTATION For Claimant, Interstate/Johnson Lane ("Claimant"), appeared, Pamela P. Warnement, Esq., in-house counsel for the claimant located at Charlotte, North Carolina. For Respondent, Geoffrey Nadler ("Respondent"), appeared, William Paul Mason, Esq., of the law firm Weener & Mason located at Atlanta, Geo

r AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. and 01-02012 Phoenix, Arizona Names of Respondents/Counterclaimants Dain Rauscher, Inc. Randolph S. Moore REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant" or "Merrill Lynch") was represented by Michael J. Fortunate and Timothy S. Cole, Rubin & Associa

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between ~Name of Claimant Leonard H. Franks, CPCU & Associates, Inc. Employee Profit Sharing Retirement Plan and 96-01372 Name of Respondent International Assets Advisory Corp.; Kevin Woodbridge. REPRESENTATION OF PARTIES For Claimant: Claimant Leonard H. Franks ("Franks") was represented by Victor J. Schubert, Esq. of Glencoe, Illinois. For Res

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Jack Smith and No. 96-01371 Name of Respondent Cantella & Company, Nutmeg Securities, LTD, Hubert Roche Securities Corp., Michael Valadimir Lipkin, David J. Grey, Alfred I. Fisher, and Josh Shainberg REPRESENTATIONS PARTIES Robert Jack Smith ("Claimant") was represented by Tracy Pride Stoneman, Esquire of Susemihl & M

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert L. Huff; and 96-01367 Names of Respondents Prudential Securities Inc. and Gerald Kissner. REPRESENTATION OF PARTIES Claimant Robert L. Huff ("Huff 1 ) was represented by John E. O'Neill, Esq, of Clements, O'Neill, Pierce & Nickens in Houston, Texas. Respondent Prudential Securities Inc. ("Prudential") and Resp

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Edward V. Gonzalez, Jr., Claimant, and No. 96-01366 Equitable Life Assurance Society of the United States, Respondent, REPRESENTATION OF PARTIES Claimant Edward V. Gonzalez, Jr. was represented by Tomas Ramirez, III, Esquire, of San Antonio, Texas. Respondent Equitable Life Assurance Society of the United States was represented by David M. Ellis

NASD REGULATION AWARD Name of Claimant Deborah Wolrich 96-01361 Name of Respondent Dean Witter Reynolds Inc. Roger L. Cahn REPRESENTATION Claimant Deborah Wolrich ("claimant") was represented by Louis Lerner of Newton, Massachusetts. Respondents Dean Witter Reynolds Inc. ("Dean Witter") and Roger L. Cahn ("Cahn") were represented by Debra A. Roth, Esq., Vice President and Senior Attorney of Dean Witter Reynolds Inc. CASE INFORMATION

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Joseph Joseph 96-01360 Name of Respondents Stratton Oakmont, Inc. Scott Feigelman Stephen G. Buxton REPRESENTATION For Claimant Joseph Joseph ("Claimant") appeared Marc S. Beckman, Esq. of the law office of Sonneborn Law Offices located in Syracuse, New York. Respondent Scott Feigelman("Feigelman") appeared pro se. Respondent Stephen Buxton ("B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant > James Garrett 96-01356 Name of Respondent John Lembo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1996, claimant James Garrett ("claimant"), who appeared Pro Se, alleged that respondent John Lembo ("respondent") was manipulative, deceptive and fraudulent in his secur

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard A. Chesney 96-01345 Name of Respondents Cantella & Company Kevin Horn Vision Investments Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1996, Claimant Richard A. Chesney ("Claimant"), who appeared Pro Se, alleged that Respondents Kevin Horn ("Horn