N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Paul A. Paradise 96-05516 Name of Respondents Comprehensive Capitol Corp. Elizabeth A. Kenney REPRESENTATION Claimant Paul A. Paradise ("Claimant") was represented by Paula D. Shaffner, Esq., Saul, Ewing, Remick & Saul, Philadelphia, PA. Respondent Comprehensive Capitol Corp. ("CCC") was represen

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Jeffrey Kraft, Claimant, and No. 96-05513 Bear Stearns & Co. Inc. and Craig Klinger, Respondents. REPRESENTATION OF PARTIES Claimant Jeffrey Kraft, ("Kraft") was represented by Jonathan W. Evans, Esq. of Jonathan W.-Evans'. & Associates, located inLos Angeles, Ca. .^i^,^ Respondents Bear Stearns & Co. Inc., ("Bear Stearns") and Craig Klinger, ("

r - NASD REOULATIpN. AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Peter Paul Mattejat • • - • • • ------- ....... 96-05498 Name of Respondent Mario DePinto REPRESENTATION Claimant Peter Paul Mattejat ("Claimant") represented himself. Respondent Mario DePinto ("Respondent") was represented by Jenice Maledri of the law firm of Singer Zamansfcy

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05496 Securities of Westchester, claimant v. Audrey Lombardo, respondent. ATTORNEYS: For Claimant Appeared Michael G. Shannon, Esq. - New York, NY. Respondent did not appear. DATE FILED: 12/11/96. CASE SUMMARY: Claimant alleged shares purchased from respondent had been previously sold or reported lost. Claim Data Claim: $3,326.92 Interest

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05491 Kenneth E. Wohltmann, claimant v. Olde Discount Corporation, Steve Cicali, respondents. ATTORNEYS: For Claimant appeared Douglas R. Laily, Esq. - Jenkintown, PA. For Respondents appeared Julie D. Reed - Detroit, MI. DATE FILED: December 11, 1996 CASE SUMMARY: Claimant alleged breach of fiduciary duty, untrue statements of material fact, omissions of

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 96-05489 Name of Respondent Steven J. Maher REPRESENTATION Claimant PaineWebber, Inc. ("Claimant") was represented by Hector BeciK Esq.. PaineWebber, Inc., Weehawken, NJ. Respondent Steven J. Maher ("Respondent") was represented by Mark S. Michael, Esq., Dallas, TX. CASE INFORMA

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Philip R. Taylor 96-05487 Name of Respondent Edward D. Jones & Co. REPRESENTATION For Claimant Philip R. Taylor ("Claimant") appeared James R. Levinson, Esq. and Mark Stites, Esq. of the firm Levinson Levinson and Hatch, located in Benson, North Carolina. For Respondent Edward D. Jones & Co. ("Respondent") appeared Lawrence R. Goldberg. Esq. of the firm Gol

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Margaret A. Christman, Claimant, and No. 96-05482 Daniel J. Weis, and EVEREN Securities, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Margaret A. Christman ("Claimant") was represented by Robert M. Disch, Esq. of Ross & Hardies located in Washington, D.C. Respondents Daniel J. Weis ("Weis") and EVEREN Securities, Inc. ("EVEREN") (co

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Harold Hudson Henley and 01-01385 Dallas, Texas Name of Respondents Ameritrade, Inc. and Caroline F. Wyzykowski REPRESENTATION OF PARTIES Harold Hudson Henley, Esq. ("Claimant") represented himself. His law practice is located in Dallas, Texas. Ameritrade Inc. and Caroline F. Wyzykowski ("Respondents") were represented by Robert P. Oliver, Kessler & C

Award NASD Dispute Resolution, In the Matter of the Arbitration Between: Chien-Lien Lai and Lee Huang, Claimants v. Hong Yi Sun and Mark Cheng-Pen Lee. Respondents Case NumbcnOO-0(y723 Hearing Site: Los Angeles, California REPRESENTATION OI PARTIES For Claimants Chien-Lien Lai and Lee Huang: Chien-Lien Lai Lee Huang In Pro Per San Gabriel, California Yi Sun and M -- ->'-•• '•••-•> ^; ' 4 * ! Mark Cheng-Pen Lee: ; : -