SEP. 1.1998 10:57flM NASD REGULATION FL . NO.565 P.7 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jenda Miller A. Shirley MUler, JTWROS Shirley Miller 96-05708 Names of Respondents Sovereign Equity Management Corp. Steven J, Labrasciano Alex Rivera REPRESENTATION For Claimants: Vincent A. O'Brien, Esq. of the Law Office of Faugl & O'Brien, P.A., Tampa, F

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Jack Radak, IRA v. Name of Respondent Chadwick Financial Group, Inc., Fein McNeill, Inc., Darius Tourani, and Raymond P. Dowd Arbitration No. 96-05702 REPRESENTATION For Claimant: For Respondent: Chadwick Financial Group, Inc. Fein McNeil, Inc. Darius Tourani Joel Blank, Esq. Nancy K. Undem, Esq. Law Offices of Nancy

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(si Steven 0. Thomas Arbitration No. 96-05701 Name of Respondent(s) Landmark International Equities REPRESENTATION For Claimant: Steven 0. Thomas, Veradale, Washington For Respondent: William Nunziato, Whitestone, New York CASE INFORMATION Statement of Claim filed: December 24, 1996 Amendment to Statement of Claim filed: April 13, 1998 Claima

MflR.16.199B i:07PM NASD REGULPTION FL iiu.^-* N.A.5.D. AWARD NATIONAL ASSOCIAHON OF SECUIUTIES DEALERS In the Matter of the Arbitration Between • Name of Claimant PaineWebber Incorporated NASD CASE NO. 96-05699 Narne-Of-Respondent Barry M. Plotkin For Claimant: Patricia E. Cowart, E&q., Senior Associate General Counsel of PaineWebber Incorporated. For Respondent; Delmer C. Cowing IE, Esq. of Delmer C. Gowing IB, P,A. CASE INFORMATION St

NASD REGULATJON, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Adriane Kellerman, n/k/a Adriane Leavitt 96-05698 Name of Respondents Principal Financial Securities, Inc.; Jeffrey Lieungh REPRESENTATION For Claimant: Adriane Kellerman, n/k/a Adriane Leavitt ("Leavitt") was represented by Marshall J. Belgrad, Esq., located in Northbrook, Illinois. For Respondents: Pr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. , " 3i - ARBITRATION DEPARTMENT ---___,,.,,_.. „ _ • _ » _ «. -„,..,— . Y PRUDENTIAL SECURITIES INCORPORATED and PAUL BRONZO, Claimants, NASD No. 96-5697 -against- DOUGLAS BRKICH Respondent. IT IS HEREBY STIPULATED AND AGREED between Claimants and Respondent as follows: 1. Douglas Brkich ("Brkich"), a financial adviser to the "Bronzo Group" in claimant Prudential Securities Incorporated

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01407 Wayne G. Lyle, claimant vs. Jay W. Peterson, respondent. ATTORNEYS: Claimant appeared Pro Se, Littleton, CO. Respondent did not submit a response to the Statement of Claim. DATE FILED: March 20, 2001 CASE SUMMARY: Claimant alleged that Respondent promised to inform Claimant if Respondent took certain actions. Respondent took said actions, and did not inform Claimant, causi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Jeff Rymer and Lisa Rymer, SJHR Investments, Stephen J. Roach III and Dorothy Roach, Claimants, v. No. 96-05689 Giovanni Volpe, and Dean Witter Reynolds, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Jeff Rymer, Lisa Rymer, SJHR Investments, Stephen J. Roach III and Dorothy Roach, (collectively referred to as "Claimants") were represented by Anthony V. Trog

NASD REGULATION, INC. ^j C JQ\ AWARD In the Matter of the Arbitration Between Name of Claimants PaineWebber Incorporated vs Case No. 96 5676 Name of Resnondent Walter N. Iwachiw Kidder Peahody & Company, Incorporated Herzog. Heine, Geduld, Inc. John Carparelli Fred Warren Kevin Vesey Leonard Vinci - v -- REPRESENTATION For Claimant PaineWebber Incorporated ("Claimant") appeared Lisa Catalano Tillem, Esq.. Corp

.N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05675 PaineWebber, Inc., claimant v. James,E. Nellis, respondent. ATTORNEYS: For claimant appeared Stephanie Morse-Shamosh, Esq. - Weehawken, NJ. Respondent appeared pro se - Providence, RI. DATE FILED: 12/23/96 CASE SUMMARY: Claimant alleged respondent owes it a draw deficit. Claim Data Claim: $4,617.14 Interest: Yes Punitive: $.00 Atty F