AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jon Seibold and Name of Respondent Piper Jaffray. Inc. Bruce Barton 96-00659 REPRESENTATION OF PARTIES Jon Seibold ("Claimant") was represented by Kathleen K. Rauenhorst Esq., Rauenhorst & Associates, P.A., Rosevilk, Minnesota. Piper Jaffray, Inc. ("Respondent Piper") and Bruce Barron ("Respondent Barren") were repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of (he Arbitration Between ; i i n ) am Theresa Marchica, IRA 96-00657 Name of Respondent Feele\ & Wileox CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on February 13. 1996, Claimant Theresa Marchica ("Claimant"), who appeared Pro Se, alleged that Respondent Feeley & Wilcox ("Respondent") purchased an investment which was not in c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Koch, (Claimant) v. Salomon Smith Barney, Inc., and Edward Reyman, (Respondents) and Franz Koch, (Claimant) v. Salomon Smith Barney, Inc., and Edward Reyman, (Respondents) Case Number: 01-01141 (consolidated with 01-01143) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Michael Koch, ("Michael") and Franz Koch (Franz): Mark Chinitz, Esq., and Gerard

NASD RBGU NATION AWARD Michael L. and Tina M. Shore 96-00656 Name of Respondents Moe Rimson & Co.. Inc. Emmett Lark in & Co. Edward Veisman REPRESEXTATION For claimants Michael L. and Tina M. Shore ("claimants") appeared Michael L. Shore. Respondent M. Rimson & Co., inc. C'kiirtsoir:") did not enter an appearance in this matter. For respondent Emmett Larkin & Co, ("Emmett Larkin") appeared Melvin Peterson. Respondent Edward Veisman TVeisnian

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Case 96-00653 REFKESJENTA11( )N Claimant Konstantinos Haralambidis ("Haralamhidis") appeared pro se. For Respondent National Discount Brokers ("National' 1 ) appeared Adam Rezok, Esq., staff attorney with National. CASE INFORMATION Statement of Claim filed on February 9. 1996. Claimant's Submission Agreement signed on December 26, 1995. Statement of Answer filed by Respon

NASD REGULATION, INC. AWARD In the Mattel of the Arbitration Between Name of Claimants Joseph Feldman Ruth Feldman Edward Feldman Stephen Feldman a/r/f Rachel Feldman Stephen Feldman a/c/f Alex Feldman 96-00646 Respondents prudential Securities, Inc. Russo securities. Inc. SmfthBaroey Shearscn, Inc. Joseph Btumenthal J.I. Morgan & Co. Gilford aaoufe^ Inc. REPRESENTATION For Claimants Joseph Feldman ("J.FeidmarT),

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Tony Lopez, individually, The Estate of Kathleen C. Lopez, by and through its executor, Tony Lopez, Carmen Lopez, individually, and as beneficiary of The Estate of Kathleen C. Lopez and Case Number 96-00645 Names of Respondents Prudential Securities, Inc. and Larry Margozewitz REPRESENTATION OF PARTIES Tony Lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNG. In the matter of the Arbitration Between Name of Claimants Samuel C. Chua NASD Arbitration v. No.96-00643 Name of Respondents Stratton Oakmont, Inc. Scott Feigeiman and Steve Buxton REPRESENTATION For Claimant: Robert A. Uhl, Esq. and Philip M. Aidikoff, Esq. Aidikoff & Uhl Beverly Hills, California For Respondents: Jay Marc Israel, Esq. Wexler & Burkhart, P.C.

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Doris E. Colin 96-00639 _Na me of_Resrjpn_dent Gene Lantern CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on February 12, Claimant Doris E. Cohn ("Claimant"), who appeared Pro Se, alleged that Respondent Gent' Lanton ("Respondent") made improper decisions regarding her investments. Claimant further allege

96-00636 Oppenheimer & Co., inc. Larry Malles Randy Driver Greg We!Is Keith Daubenspeck Larry Bishop REPRS'SEMATION For Claimant William Graham ("Claimant") appeared Roger W. VanDeusen, Ksq., of the law office of Chairman, Gaines, £ Stern., located in Cleveland, Ohio. For Respondents Oppenhermer & Co ('Oppenheimer"), Larry Malles ("Malles"), Randy Driver ("Driver'). Greg Wells ("Weils' }, Larry fiishop ("Bishop"), and Keith Daubenspeck ("Dau