flUG.10.1998 9=34ftM NPSD REGULflTION FL r NO.990 P.21 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joseph and Edna Malamut Case No. 96-05590 Names of Respondents American Trust Securities Corp. Laurence Winstanley Donald Wasserman REPRESENTATION OF PARTIES For Claimants: Arnold Y. Steinberg, Esq, of the law firm of Arnold Y. Steinberg, P.C., Fort Lauderd

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Morris Bryans Case No. vs. 96-05586 Name of Respondents JosephthaJ Lyon & Ross Inc. Brian Corday REPRESENTATION For Claimant, Norris Bryans ("Claimant"), Gerald B. Kline, Esq., from the law firm of Sims Moss Kline & Davis, LLP., located in Atlanta, Georgia. For Respondents, Josephthal Lyon & Ross, Inc. ("JLR"), and Brian Corday ("Corday") (collectiv

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Christian A. Walkowicz 96-05585 Name of Respondent Laidlaw Equities, Inc. REPRESENTATION For Claimant Christian A. Walkowicz ("Claimant") appeared Kevin P. Conway, Esq., of the firm Conway & Conway, located in New York, New York. For Respondent Laidlaw Securities, Inc. ("Respondent") appeared Edward Werner, Esq., with offices located in Jackson, New Jer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05583 Elliott W. Weinstein, claimant v. Merrill Lynch Pierce Fenner & Smith Inc, Thomas Philips, David Buchanan, Mark Brennan and Marie A. Vavra-Coleman respondents. ATTORNEYS: Claimant appeared pro se - York, PA. For Respondents appeared Christopher D. Cavuoti, Esq. - New York, NY. DATE FILED: 12/1 7/96 CASE SUMMARY: Claimant alleged unauthorized trading

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Rex B. Wherry and Wray H. Wherry, Claimants, and . No. 96-05579 D.E. Frey & Co., Inc., and Eric Aronson, Respondents. REPRESENTATION OF PARTIES Claimants, Rex B. Wherry and Wray H. Wherry, were represented by Joe C. Holzer, Esquire of Butler & Binion, L.L.P., in Houston, Texas. Respondents, D.E. Frey &. Co., Inc. and Eric Aronson were repres

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Howard Gensler Name of Respondent John Hiers Arbitration No. 96-05578 REPRESENTATION For Claimant: For Respondent: Mr. Howard Gensler ProSe Costa Mesa, California Mr. John Hiers ProSe Canyon Lake, California CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed:

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05577 Harry Finkelstein, claimant v. Norfolk Securities Corp., Ian Hosang, Rondo Hosang and Oliver Hosang, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Brooklyn, NY. Respondents did not appear. DATE FILED: 12/16/96 CASE SUMMARY: Claimant alleged failure to follow instructions to liquidate account and deliver proceeds and unauthor

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant L. Stanley Carne, II 96-05576 Name of Respondents First Associated Securities Group, Inc. David Vangorder CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on December 16, 1996, claimant L. Stanley Carne, III ("claimant"), who appeared Pro Se, alleged that respondents First

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Martha F. Bowie and 01-01399 Southfield, Michigan American Express Financial Advisors, Inc., and Linton D. Schopp REPRESENTATION OF PARTIES Martha F. Bowie ("Claimant") was represented by Charles M. Groh, Esq., Charles M. Groh, P.C., Ann Arbor, Michigan. American Express Financial Advisors, Inc. ("AEFA") and Linton D. Schopp ("Schopp"), hereinafter, collectively

NASD REGULATION, INC. AWARD NASD REGULATION, INC. - OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Chuck B. Sorrell 96-05564 Name of Respondent Dallas Research &. Trading Inc. REPRESENTATION Claimant Chuck B. Sorrell ("Claimant") was represented by L. Bruce McDaniel, Esq. of the law firm of McDaniel & Anderson, L.L.P., Raleigh, NC Respondent Dallas Research and Trading, Inc. ("Respondent") was represen