\ A.bL 1 REGULATI ON Inc. Award 96-00715 Name cf Respondent j ION OF PARTIES by Martin H. Aussenberg, Esq., Law offices was *?,•(" finally represented by Darren Larnpert, Esq., of Y, y vk, On February 4, 1998 ? notice was received thai I Itil:^, Ksq., of Mure & Carone, P.C.. Brooklyn, New York, ^is represented m the pleading^ stage by Howard A. j V;Jmsky & Kain, Fort Lauderdale, Florida. Giovannini "w,-.s ridt represe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roth Capital Partners, LLC, Claimant v. William Trigger ffi, Respondent Case Number: 01-01149 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Dena L. Narbaitz, Esq. Steefel, Levitt & Weiss San Francisco, California For Respondent: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California CASE INFORMATION Statement of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan Leslie Basevitz, Claimant Vs. Commonwealth Investment Services, Inc., Respondent. Case Number: 00-00703 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Anita M. Britton, Esquire, of Stoll, Keenon & Park, Lexington, Kentucky, represented Claimant Alan Leslie Basevitz, ("Basevitz"). Kenton E. Knickmeyer, Esquire, of Thomson Coburn, St. Louis

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mutter of the Arbitration Between Name of Claimant Randy L. Aulick 96-00714 Name of Respondent Buiiunwood Securities, inc. d/h/a Securities Planners. Inc. Sal Waishrut Edward McKay CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on February 16, 1906, claimant Randy L. Aulick ("claimant"), who appeared Pro Se, alleged that respondents

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert B. Meyer, and Nancy L. Meyer, Claimants, vs. 96-00709 PaineWebber, Inc., Richard Manley, and N. Glenn Whittington, Respondents REPRESENTATION OF PARTIES Robert B. Meyer, and Nancy L. Meyer ("Claimants") appeared on their own behalf Respondent Richard Manley ("Manley") was represented by Ben L. Krage, Esq., of Kasmir & Krage, L

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of Arbitration Between Leilani J. Witt, Claimant, and Birkelbach Investment Securities, Inc. and Frank Miya, Respondents. In the Matter of Arbitration Between Birkelbach Investment Securities. Inc., Claimant, and Leilani Witt and Peter Dau, Respondents. No. 96-00708 Consolidated with: No. 96-01186 REPRESENTATION OF PARTIES Case Number 96-00

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert J Alldredge, Claimant, and No. 96-00705 Norcross Securities, Inc., Respondent, REPRESENTATION OF PARTIES Claimant Robert J. Alldredge was represented by Robert J, Cruse, Esquire of Cruse, Firetag & Bock, P.C. located in Phoenix, Arizona, Respondent Norcross Securities, Inc. was represented by Paul J. Roshka, Jr., Esquire of Roshka Hey

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Lavern Augustine, and Therese Augustine, Claimants, No. 96-00704 OLDE Discount Corporation, and James T Monaco, Jr., Respondents REPRESENTATION OF PARTIES Lavern Augustine and Therese Augustine ("Claimants") were represented by Robert B. Van Cleave. Esq., Overland Park, Kansas OLDE Discount Corporation ("OLDE"X and James T, Monaco, Jr. (

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mark Triffler, as Trustee of the Mark Triffler Oldsmobile Profit Sharing Plan; Mark Triffler; Robert Langendorf Claimants No. 96-00702 LaSalle Street Securities, Inc.; Darrell M. Pepple Respondents REPRESENTATION OF PARTIES For Claimants: Mark Triffler, as Trustee of the Mark Triffler Oldsmobile Profit Sharing Plan (the "Plan"), Mark

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the .Arbitration Between John Siragusa, Claimant, and No, 96-00700 Robert Smith, and Tom Niemczyk, Respondents. REPRESENTATION OF PARTIES Claimant John Siragusa ("Claimant") appeared pro se. Respondents Robert Smith ("Smith") and Tom Niemczyk ("Niemczyk") (hereinafter collectively referred to as "Respondents") did not appear at the hearing and were unrepresented. Respo