Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rickel & Associates, Inc. (Claimant) v. J.B. Oxford & Company, Inc., Stratton Oakmont, Inc., and Monroe Parker Securities, Inc. (Respondents) Case Number: 95-01927 Hearing Site: New York, New York Nature of the Dispute: Member vs. Members. REPRESENTATION OF PARTIES Claimant Rickel & Associates, Inc. ("Rickel") hereinafter referred to as "Claimant": Leonard Lesser, Esq., Schneck

95-01925 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Gladys R. Berger Name of Respondent(s) Merrill Lynch Pierce Fenner & Smith Inc Michael Hellman REPRESENTATION For Claimant Gladys R. Berger ("Claimant") appeared Gerald D. Fischer, Esq. from the law offices of Opton, Handler, Gottlieb, Feiler & Katz in New York, New York. For Respondents Merrill Lynch, Pierce, Fe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: W.R. Timmerman and Doris G. Timmennan, Claimants Case NumberQl -00959 Josephthal & Company, Inc.. Respondent Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimants, W.R. Timmerman and Doris G. Timmerman, hereinafter collectively referred to, as "Claimants" were pro se. Respondent, Josephthal & Company, Inc., hereinafter referred to as "Respondent" were represented by Mike

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name^f Claimant Commonwealth Associates 95-01922 Name of Respondent Robert M. Greenberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1995, Claimant Commonwealth Associates ("Claimant"), through its representative and counsel, David S. Richan, Esq., of Tenzer Greenblatt LLP, located in New

N.A.S.D. AWARD NATTOMAL ASSENTATION OF SECPRTTTES PEAT .BBS. INC. In the matter of the Arbitration Between Name of Claimant (s) Joan C. Kitchen NASD Arbitration No. 95-01917 Dean Witter Reynolds Inc. TCW Asset: Management Compan REPRESENTATION For Claimant: Gary Y. Gkuda, Egg., Leu fc QJcuda, Honolulu, Hawaii For Respondent Dean Witter Reynolds Inc.; Paul Allen, Esq., Dean Witter Reynolds Inc., San Francisco, California For Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Richard & Charlotte Astalos 95-01914 Names of Respondents Olde Discount Corporation Richard D. Gurchak Frank L. Thomas REPRESENTATION For Claimants, Charlotte L. Astalos and Richard J. Astalos ("Astalos"): Allan J. Fedor,Esq. and Franell Fedor,Esq. of Fedor & Fedor, of Largo, Florida. For Respondents, Olde Discount Co

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant George A. Youngman and 95-01912 Name of Respondent Gregory D. Weinstein Brookstreet Securities Corp. Portfolio Management Consultants, LTD. Stanley C. Brooks REPRESENTATION OF PARTIES George A. Youngman ("Claimant")was represented by Thomas A. Polich, Esq., Denver, Colorado. Gregory D. Weinstein ("Respondent Weinstein

RPR.14.1999 10:14AM NO.829 P. 21 AWARD NASD Regulation, Inc. In the Matter of ti» Arbitration Between Name Lawrence Starr Name of Respondent Prudential Securities, Inc. 95-01908 REPRESENTATION For Claimant Lawrence Starr ("Starr"): Lee H. Schillinger, Esq. and John Brekka, Esq, of Lee H. Schillinger, P. A., Hollywood, Florida. For Respondent Prudential Securities, Inc. ("PSI"): Richard Martens, Esq. of Boose Casey Ciklin Lubi

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Commonwealth Associates 95-01904 Name of ftesppndentfs) Marc R. Lunderman REPRESENTATION For Claimant appeared Allan N, Taffet, Esq. of Tenzer GreenBlatt, LLP, New York, New York. Respondent appeared Pro Se. CASE INFORMATION Statement of Claim filed: April 17, 1995. Claimant's Submission Agreement signed on: March 20, 1995,

N.A.S.D. REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Commonwealth Associates 95-01903 Name of Respondent Thomas J. Littleton REPRESENTATION For Claimant, Commonwealth Associates, appeared J.P. Wilson, Esq. in-house counsel for Commonwealth Associates, located in New York, New York. Respondent, Thomas J. Littleton, did not appear at the evidentiary hearing conducted in this matter.