N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Earl G. and Ruth E. Helbig 96-05563 Name of Respondent Tradestar Investments, Inc. REPRESENTATION Claimants Earl G. and Ruth E. Helbig ("Claimants") appeared pro se. Respondent Tradestar Investments, Inc. ("Respondent 1 *) was represented by Kevin Wilson, Tradestar Investments, Inc., BrynMawr

NASD REGULATION. INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Beverly Thorpe 96-05561 Name of Respondents Gilford Securities Inc. Michael Kardish REPRESENTATION For Claimant Beverly Thorpe ("Claimant") appeared Donald McGarth, Esq. of the law office Falk & Siemer, LLP located in Buffalo, New York. For Respondents Gilford Securities, Inc. ("Gilford") and Michael Kardish ("Kardish"), col

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Kevin M. Hussey Mary L. Hussey James P. Hussey v. Arbitration No. 96-05558 Name of Respondent^ Dean Witter Reynolds, Inc. REPRESENTATION For Claimants: John S. Worden, Esq., and Laura E. Gasser, Esq./Morgenstein & Jubelirer LLP, San Francisco, California For Respondent: Timm A. VerDuin, Esq., Dean Witter Reynolds,

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Fred B. Richardson. IIL Claimant. v. No. 96-05553 Legg Mason Wood Walker, Inc.. Respondent. REPRESENTATION OF PARTIES Claimant Fred B. Richardson. Ill ("Claimant") was represented by Earl S. Eichin. Jr.. Esq. of O'NeiL Eichin, Miller, Saporito & Harris located in New Orleans, Louisiana. " :: Respondent Legg Mason Wood Walker. Inc. (''Respondent"

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Isidro R. Mendoza 96-05547 Name of Respondents Euro-Atlantic Securities, Inc.; John Madden; Jin Zhang REPRESENTATION For Claimant: Isidro R. Mendoza was represented by John A. Dienner, 111, Esq. of Sedgwick, Detert, Moran & Arnold, located in Chicago, Illinois. For Respondents: Euro-Atlantic Securities, Inc. did not app

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Warren Liu v. Arbitration No. 96-05539 Name of Respondents Everen Securities, Inc. and Freddie Lee REPRESENTATION For Claimant: William F. Davis, Esq. ;n:r Law Office of William F. Davis Pacific Palisades, California For Respondents: Kenneth F. Berg, Esq. Law Office of Kenneth F. Berg Chicago, Illinois CASE

AWARD In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. and Case Number 96-05530 Name of Respondent Joseph Trent SifF t REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc. was represented by Diane C. Fischer, Esquire of Gomberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent, Joseph Trent SifF did not file an answer nor did he appear at the hearing. INFORMATION Claimant, Dea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05526 Eli Levy-Sleman, claimant vs. Tom Ishak and State Capital Markets Corp., respondents. ATTORNEYS: Claimant appeared Pro Se, Brooklyn, NY. For Respondent Tom Ishak, appeared Allan N. Taffet, Esq., of the law firm, Paradise & Alberts, L.L.P., New York, NY. Respondent State Capital Markets Corp. did not respond to the Statement of Claim. DATE FILED: Dece

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Byron Hartman Case No. 01-01390 TD Waterhouse Investor Services, Inc.; and David B. Slusarski Hearing Site.- Milwaukee, Wisconsin OF PAKTTFS Claimant Byron Hartman ("Hartman") was represented by Doug Hartman of New Berlin, Wisconsin. Respondents TD Waterhouse Investor Services, Inc. ('TD Waterhouse") and David B. Slusarski ("Slukarski")* her

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard D. Dugan 96-05519 Name of Respondents J.S. Securities, Inc. Jeffrey Stephen Szur REPRESENTATION Claimant Richard D. Dugan ("Claimant") was represented by Louis J. Sinatra, Esq. and James C. Shah, Esq., Pelino & Lentz, Philadelphia, PA. Respondents Jeffrey S. Szur ("Szur") and J.S. Securities, Inc. ("JS Secur