A r AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Vemon A. And Marion V. Otte and 96-01120 Name of Respondents Discount Corp. Simmons & Bishop Co. Thomas C. Ziemba REPRESENTATION OF PARTIES Vernon A. And Marion V. Otte ("Claimants") was represented by Michael Salcido, Esq., Phoenix Arizona. OLDE DiscountCorp. ("OLDE") was represented by Ina Otto, Esq., OLDE

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James and Susie Coward, and 96-01107 Name of Respondent ^(Oppetiheimer & Co,, Inc., Kemper Clearing Corporation n/k/a/ Everen Securities Inc. REPRESENTATION OF PARTIES For Claimant: Claimant James and Susie Coward ("Cowards") were represented by Delia M. Stephens, Esq. in Houston Texas. For Respondent: Respondent Oppenheimer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Stapleton 96-01105 Name of Respondents Jeffrey Keith Trilling LaJolla Capital Corporation REPRESENTATION For Claimant, Elizabeth Stapleton ("Stapleton"): Vincent J. D'Antonio, Esq., Fort Lauderdale, Florida. For Respondent, LaJolla Capital Corporation ("LaJolla"): James C. Weaver, Esq., San Diego, California,

N.A.S.D. REGULATION AWARD ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Greenhouse Agency Profit Sharing Money ^u thr.se Plan 96-03101 Name of Respondents Brokers Exchange,, Inc. Donald B. Harris CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, inc. on March 13, 1996, claimant Greenhouse Agency Profit Sharing Mos^ey Purchase Plan ("clai

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Robert Blashka Case No. 96-01100 Greenway Capital Corporation, Mayer A. Amsel, David Amsel National Financial Service Corp., REPRESENTATION Robert Blashka ("Claimant") was represented by Laurie J. DoIIinger, Esq. of the law firm of Gusrac Kaplan, & Bruno. New York, New York. Greenway Capital Corporation ("Greenwav") did not appear. Mayer Amsel ("Amsel') did not

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASDREGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John Vitali Name of Respondent Charles Schwab & Co., Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-01096 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: CASE INFORMATION Claimant's Answer to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-01169 Richard Conti Barbara Conti Names of the Respondents Hearing Site: Tampa, Florida Preferred Securities Group, Inc. Theodore Kaprel Malkasian Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard Conti ("RC") and Barbara Conti ("BC"), hereinafter collectively referred to as "Cla

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 96-01092 Name of Respondent Frederick W. Azeltine REPRESENTATION OF PARTIES For Claimant: Prudential Securities Incorporated was represented by Steven P. Gomberg, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. For Respondent: Frederick W. Azeltin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Schneider 96-01083 Name of Respondent Vision Investment Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1996, Claimant Joseph Schneider ("Claimant"), who appeared Pro Se, alleged that Respondent Vision Investment Group, Inc. ("Respondent"), through its repr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jerome D. Simon and Joyce B. Simon 96-01081 Name of Respondent La Jolla Capital Corporation Name of Third-party Claimant La Jolla Capital Corporation Name of Third-party Respondent David W. McMullian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11; 1996, Claimants