N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05634 Gordon Meyer, claimant v. Alex Shindman, respondent. ATTORNEYS: Claimant appeared pro se - Spring Valley, NY. Respondent did not appear. DATE FILED: 12/19/96 CASE SUMMARY: Claimant alleged bad investment advise in the sale of stock. Claim Data Award Data Claim: $1,968.00 Award: $1,968.00 -"^ Punitive: $200.00 Punitive: $.00 u Atty Fees: $

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. ==^^^^^^^^^^^^=s^=^^^^^a^a^^a^Sa=ga^gi^^g^^^^B=!^B[^=e=sg:s5g3^=g^=ii ,-v *•-. i"~=i=™^==as==u»»^gaabB^as^j^»Bs=Bs^=aa CASE: 96-05633 Joseph I. Hungate, HI, claimant vs. Sands Brothers & Co. Ltd and Todd Cirella, respondent;;. ATTORNEYS: Claimant appeared Pro Se, Arlington, VA. For Respondents, appeared Chief Compliance Officer, Berton Seltzberg, New York, NY. DATE FIL

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bernardo S. Orina, Claimant vs. A.L. Williams & Associates, Inc., First American National Securities, Primerica Financial Services, Inc., PFS Investments, Inc., Travelers Group, Inc., Primenca, Smith Barney, Inc. and Primerica Life Insurance Company, Respondents. Case Number: 96-O5632 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Bernardo S. Orina

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05631 Robert Redfield, claimant vs. A.S. Goldmen & Co. Inc. and Greg Gaydos, respondents. ATTORNEYS: Claimant appeared Pro Se - East Brunswick, NJ. For Respondents appeared Carole E. Bernstein. Esq., Nowalk, CT. DATE FILED: December 1, 1996. CASE SUMMARY: Claimant alleged omission of facts, false claims, misinformation and failure to execute trades as agre

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05629 Leonard A. DeGrendale, IRA, claimant v. A.G. Edwards & Sons, Inc., Walter Howerton and Jeffrey Sutton, respondents. ATTORNEYS: For Claimant Leonard A. DeGrendale appeared pro se - Tucson, AZ. For Respondents appeared Phyllis Hartrich, Esq. - St. Louis, MO. DATE FILED: 12/19/96. CASE SUMMARY: Claimant alleged unsuitability in the purchase of Carri

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barney K Hayes 96-05624 LaJolla Capital Corp. Larry Todd Kelly Paul Vincent Pintor Emmett A. Larkin & Co., Inc. B.J. Gallison Lee Swift Kyle Rowe Janice Schultz REPRESENTATION OF PARTIES For Claimant: Steven M. Green, Esq., Law Offices of Steven M. Green, San Diego, California. For LaJolla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brookstreet Securities Corp., Claimant and Counter-respondent v. Amanda Makki, Respondent and Counterclaimant Case Number: 01-01403 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-respondent; Elizabeth Lowery Fields, Fehn, & Sherwin Los Angeles, California For Respondent/Counterclaimant: Laurie J. Butler Tourtelot & Butler Los Ang

AWARD NASP REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Joyce Kossack, Trustee-The Kossack Survivors Trust and The Kossack Marital Trust, Joseph G. & Eileen Milstein, JTWROS, and Joseph G. Milstein, IRA v. Arbitration No. 96-05619 Consolidated with 96-05620 Name of Respondents Lazar Frederick and Co., and Betty Rubin REPRESENTATION For Claimant Joyce Kossack: Joyce Kossack

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05617 Dean Witter Reynolds, Inc., claimant v. Emilio Fagundo and Emilio Alvarez d/b/a Caribest Import, respondents. ATTORNEYS: For Claimant Dean Witter Reynolds, Inc. appeared Thomas J. Hanrahan, Esq., Glen Rock, NJ Respondent Emilio Fagundo did not file a Statement of Answer Respondent Emilio Alvarez d/b/a Caribest Import did not file a Statement of Answe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05615 Robyn Keil, claimant v. Bear Stearns & Company, Lew Lieberbaum & Co., Inc. and Richard Singer, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Hicksville, NY. For Respondents appeared Lawrence Sander, Esq. - Garden City, NY DATE FILED: 12/18/96. CASE SUMMARY: Claimant alleged unauthorized sale of stock for Response USA, Inc. and