AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Louis Monaco Claimant NASD Regulation, Inc. v. No. 95-05669 La Jolla Securities Corporation Marvin Susemihl Bruce Biddick Respondents REPRESENTATION OF PARTIES Louis Monaco ("Claimant") was represented by Invin Stein, Esq., San Francisco, California. La Jolla Securities Corporation and Bruce Biddick ("La Jolla Securities") were represe

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John W. Winn, by his legal guardian Donna Anderson, Claimant, v. No. 95-05667 A.S. Goldmen & Company, Inc., Respondent. A.S. Goldmen & Company, Inc., Third-Party Claimant and Third-Party Counter-Respondent, v. Robert DiMinico, and Clifford Mastricola, Third-Party Respondents and Third-Party Counter-Claimants. REPRESENTATION OF PARTIES

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. vs. NASDR Arbitration No.95-05665 Name of Respondent Michael P. Riley REPRESENTATION For Claimant: Jeffrey J. Cole, Esq., Jackson Tufts, Cole & Black, LLP> San Francisco, California For Respondent: Douglas S. Brenner, Esq., Palm Desert, California CASE INFORMATION Statem

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Guiseppe DiRusso and Rosa DiRusso and 01-01105 Southfield, Michigan Roney & Company, Inc. n/k/a Raymond James & Associates, Inc. REPRESENTATION OF PARTIES Guiseppe DiRusso and Rosa DiRusso ("Claimants") were represented by Dennis J. Harris, Esq., Garratt & Bachand, P.C., Bloomfield Hills, Michigan. Roney & Company, Inc. n/k/a Raymond James & Associates, Inc. ("Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph McConnell 95-05641 Name Shelly Jones Chatfield Dean & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1 „ 1995 , Claimant Ralph McConnell ("Claimant"), who appeared Pro Se, alleged that Respondents Chatfield Dean & Co., Inc. ("Chatfield Dean") and Shelley Jon

NASD Regulation, Inc., Award In the Matter of Arbitration Between Ronnie D. and Peggy L. Foster and Patricia M. Padgett, Claimants, and Cheryl Rodgers, Respondent. No. 95-05639 REPRESENTATION OF PARTIES Claimants, Ronnie D. and Peggy L. Foster (hereinafter, tfc the Fosters") and Patricia M. Padgett ("Padgett") were represented by Bill Boyd, Esquire of Boyd & Veigel, located in McKinney, Texas. Respondent, Cheryl Rodgers ("Rod

95-05635 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants James Lederman; Kathleen Lederman; and Steve Belke Name of Respondents John N. Salerno; Joseph Roberts & Co, Inc. REPRESENTATION OF PARTIES For Claimants: Claimants James Lederman, Kathleen Lederman ("Ledermans") and Steve Belke ("Belke") were represented by Donald M. Thompson, Esq., located in Chicago, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Name of Respondent Mark J. Nelson NASD Arbitration No. 95-05624 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: Michael Kraft, Esq. Gomberg, Kane & Fischer, Ltd. Chicago, Illinois Kevin J. Moore, Esq. Pasadena, California CASE INFORMATION N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack D. Cooper 95-05616 Name of Respondent Nations Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29, 1995, Claimant Jack D. Cooper, who appeared Pro Se, alleged that he was "pressured, misled, and wasn't told of the potential pitfalls associated with his investmen

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carole B. Potar 95-05608 V Name of Respondent Greenway Capital Corporation John LaBeck REPRESENTATION For Claimant Carole B. Potar ("claimant") appeared Henry H. Korn, Esq. of Kensington & Ressler, P.C. located in New York, NY. For Respondent Greenway Capital Corp. ("Greenway") appeared Ruthann Niosi, Esq.