AWARD *r- "NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Warren W. Schueneman, Claimant, and No. 96-01283 Piper Jaflray, Inc., Peter C. Klatt, and Steven J. Berghs, Respondent. REPRESENTATION OF PARTIES Claimant Warren W. Schueneman appeared pro se. Respondents Piper Jaffray, Inc., Peter C. Klatt and Steven J. Berghs were represented in pleadings by Mark S. Reed, Esquire of Piper Jaff

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harry & Virginia A. Mason Trust John Pew Name of Respondents Susan W. Byrd Investors Security Company, Inc. Wealth Resource Capital Corp. 96-01281 consolidated with 96-01951 REPRESENTATION For Claimants: Jeffrey Coleman, Esq. of the law firm of Bonner, Hogan & Coleman, P.A., Clearwater, FL. For Respo

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Name of Respondent Thomas O. Rockefeller NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-01278 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: Stephen?. Gomberg, Esq. G

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. v. Arbitration No. 96-01277 FrcdF. Klara For Claimant: For Respondent; Statement of Claim filed: REPRESENTATION Steven P. Gomberg, Esq. Gomberg Kane & Fischer, Ltd. Chicago, Illinois No appearance CASE INFORMATION Claimant's Submission Agreement signed: Statement of Answer

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimants 96-01276 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION For Claimants: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, Florida. For Respondent: Glenn D. Kelley, Esq. of the law firm of Kelley, Aldrich & Warren, P.A., West Palm Beach, Florida. CASE INFORMATION Statement of Claim filed: March 22, 1996. Claimants' Submission Agreement sign

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Harry Kulkowitz and Vickie S. Goldstein 96-01273 Name of Respondent^ Buttonwood Securities, Inc. Securities Planners, Inc. (alias) Capital Income Fund, L.P. Capital Funding Corporation The Baron Group, Inc. A.R. Baron & Co., Inc. Edward A. McKay Jeffrey G. Massey Andrew E. Bressman REPRESENTATION For C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant 0. Lee Taylor Name of the Respondents National Securities, Corporation; James J. Christiano; Bruce J. Katz; Robert I Kollack; Michael A. Bresner; Olympic Cascade Financial Corp. Case Number: 01-01187 Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant 0. Lee Taylor ('Taylor") was represented by H. Naill Falls, Jr., Esq

NASD Case No. 96-01271 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elaine G. Landry Name of Respondents Josephthal Lyon & Ross Inc. , - Gaines, Berland Inc. Robert T. Crothers REPRESENTATION For claimant Elaine G. Landry ("claimant") appeared Bruce S. Bandes, Esq., a sole practitioner located in West Sayville, New York. . . ; • . . For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darren Shasho 96-01269 Name of Respondents Investors Associates Inc. Lawrence Penna Herman Epstein REPRESENTATION For Claimant Darren Shasho ("claimant") appeared David S. Richan, Esq. of Tenzer Greenbiatt, New York, New York, For Respondents Investor Associates, Inc. ("IAI"), Lawrence Penna ("Penna") and Herman Epstein

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant(s) Michael D. Horvitz James R. Pezzimenti 96-01264 Name of Respondents) D. Blech & Co. Inc. David Blech , REPRESENTATION For Claimants Michael D. Horvitz ("Horvitz") and James R. Pezzimenti ("Pezzimenti"): Ronald Shindler, Esq. of Fowler White Burnett Hurley Banick & Strickroot, P.A., Miami, Florida. For Respondents D. Blech &