N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05750 ^ Grover R. Castle and Carol Ann Castle, claimants vs. State Streel Capital Markets Corporation and Oppenheimer & Co. Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Ridgewood, NJ. Respondent State Street Capital Market Corporation did not respond to the Statement of Claim. For respondent Oppenheimer & Co. Inc., appeared in-house counsel, Mark E.

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Duncan Williams. Inc.. Claimant, and Case Number 96-05745 David Wavne Treat. Respondent. REPRESENTATION OF PARTIES Claimant, Duncan Williams, Inc. was represented by Stephen H. Biller, Esquire of Baker, Donelson, Bearman & Caldwell, located in Memphis, TN. - C f Respondent, David Wayne Treat was represen

AWARD NASD Regulation, Inc. Office o'f Dispute Resolution In the Matter of the Arbitration Between Robert and Cathy Morris, Claimants, v. No. 96-05744 Nick Briganti, and Cressida Capital, Inc. f/k/a' Norfolk Securities Corp., Respondents. REPRESENTATION OF PARTIES Claimants Robert and Cathy Morris ("Claimants") were represented Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss, P.C. located in Bingham Farms, Michigan. Respo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05743 John & Judith A. Blast, claimant 'v. Lyle Maul, Fred Zweifel, Howard A. Davis, David Reisman and D. Gregg Marston, respondents. ATTORNEYS: For Claimants Claimants appeared pro se - Livonia, ML Respondent Lyle Maul appeared pro se - Los Angeles, CA. Respondent Fred Zweifel appeared pro se - Los Angeles, CA. Respondent Howard A. Davis appeared pro

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: .Sands Brothers & Co., Ltd., (Claimant) vs. Trautman Wasserman & Co., Inc., Robert Spiegel, James Palmer, Gordon Fallone, Andrew Gallion, Sean Metrose, William Watson, John McGraw, and Shaheem Patel, (Respondents) Case Number: 01-01413 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sands Brothers & Co., Ltd., hereinafter referred to as "Claimant": Richard

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s). Jeanette Robinson and Jeanette Robinson as Trustee of the Leland P. Robinson and Jeanette W. Robinson Trust Dated October 2, 1974 v. Arbitration No. 96-05742 Name of Respondents') Lazar, Frederick & Co. REPRESENTATION For Claimant: Vincent DiCarlo, Esq., Sacramento, California For Respondent: Timothy D. McGonigl

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Thomas R. Jones, Individually and as Trustee of the Thomas Jones Pension Plan, and Deborah W. Jones, Claimants, and ^ No. 96-05741 Sterling Foster & Company, Inc., Michael Richard MacCaull, and Adam Lieberman Respondents. REPRESENTATION OF PARTIES Claimants, Thomas R. Jones, Individually and as Trustee of the Thomas Jones DDS Pension Pla

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Leonard M. Bugli, and Lacaria Building Company, Inc., Claimants, and . Case Number: 96-05737 Biltmore Securities, Inc., Glenn Aursland, Alan Siemens, Richard Bruce Bronson, and Elliot Akiva Loewenstern, Respondents. REPRESENTATION OF PARTIES Claimants Leonard M. Bugli ("Bugli") and Lacaria Building Company, Inc. ("Lacaria Building Co

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles J. Nowotny, and Charles J. Nowotny IRA & Revocable Living Trust, and 96-OST29 Name of Respondent A. G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES Charles J. Nowotny, and Charles J. Nowotny IRA & Revocable Living Trust ("Claimant") was represented by Donald J. Mehan, Jr., Esq., of Moline & Shostak, L.L.C., St. Lou

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Harold A. and Meryl N. Robinson; Harold A. Robinson Trust; Harold A. Robinson; and Harold A. Robinson Revocable Trust 96-05726 Name of Respondents StrattonOakmont, Inc.; Marc Burton; Stacey Yonkus; Jordan R. Belfort; Kenneth S. Greene; Daniel M. Porush; and William Walsh REPRESENTATION For Claimants: Harold A. and Meryl N. Robinson; Harold A. Robinson