AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Claimant Everen Securities, Inc. f/k/a Kemper Securities, Inc., and 96-01002 Respondent Gregory P. Newton. REPRESENTATION OF PARTIES For Claimant: Claimant Everen Securities, Inc. ("Everen") was represented by A. Brad Busscher, Esq. of Everen Securities, Inc.,located in Chicago, Illinois. For Respondent: Respondent Gregory P. Newton ("Newton") w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert & Carol Torns, as Trustees for the Torns Living Trust 96-00991 Name of Respondent National Discount Brokers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1996, claimants Robert Torns and Carol Torns, as Trustees for the Torns Living Trust ("claimants"), who appear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Advantage Home Inspection, Inc. 96-00989 Name of Respondents) Cartwright & Walker Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1996 Claimant Advantage Home Inspection, Inc., ("Claimant"), through Andrew Marino, P.E.,, alleged that Respondent Cartwright &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Evelyne M. Litz 96-00986 Name of Respondent National Financial Services Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on March 4, 1996, Claimant Evelyne M. Litz ("Claimant"), who appeared Pro Se, alleged that Respondent National Financial Services Corporation ("Respondent") f

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Donald & Dorothy Lebo 96-00985 Name of Respondent Joseph Roberts & Co., Inc. REPRESENTATION Claimants Donald and Dorothy Lebo ("Claimants") were represented at the hearing by Donald Lebo. Respondent Joseph Roberts & Co., Inc. ("Respondent") was not represented at the hearing, CASE INFORMATION The Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Willard D. Scolnik 96-00983 Name of Respondents Smith Barney, Inc. Ernest L. Raab REPRESENTATION For Claimant: John R. Kiefner, Jr., Esq. of the law firm of Riden, Earle & Kiefaer, P.A., St. Petersburg, FL. For Respondent Smith Barney, Inc. ("Smith Barney 11 ): Victor A. Machinski, Jr., Esq., in-house counsel at

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Michael A. Shapiro v. Name of Respondents Brookstreet Securities, Inc., Toluca Pacific Securities Corp., and Steven R. Friedman NASD Regulation, Inc. Arbitration No. 96-00981 For Claimant: REPRESENTATION In Pro Per For Respondents: No Appearance Statement of Claim filed: CASE INFORMATION Clai

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: CIBC Oppenheimer Corp., a Division of CIBC World Markets v. Raymond, James Financial Services & and John Jason Aigner Case Number: 01-01160 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant CIBC Oppenheimer Corp., a Division of CIBC World Markets, hereinafter referred to as "CIBC Oppenheimer." Stephen Lee, Esq. of Doyle, Retrepo, Harvin & Robbins, L.L.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 96-00979 Name of Respondent Gregory L. White REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant") was represented by Ronald P. Kane, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. Gregory L. White ("Respondent") was represented by B

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Norman Susser, and Gail Susser, Claimants, vs. 96-00976 OLDE Discount Corporation, and Steve Yazbeck, Respondents. REPRESENTATION OF PARTIES Norman Susser, and Gail Susser ("Claimants") appeared on their own behalf. OLDE Discount Corporation ("OLDE"), and Steve Yazbeck ("Yazbeck") (jointly referred to as "Respondents") were represented b