TOCT. 10. 1998?. 1Z: 40PM 404NRSD REGULflTION PL SMITH. HOWARD . j 1 w* v I * w * I • — — . - -— * T **^ • ^- • • • ^m !• • • ^* — - - — — • FL NO. 292 NASD REGULATION, INC. AWARD NASD Regulation^ Inc., Offic« of Dispute In the Matter of it* Arbitration Between Robert E. Dicltins , 99-0047B Kidder, Pe*body Jt Co., Claimam: torn. For RespoadBAi: Peter C. JB Co,, Ins. , C.P.A. of Wefi

May-21-02 IQ:19am From-NASD DISPUTE RESOLUTION 202-728-6952 T-437 P.002/005 F-927 AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Jacqueline & Ralph Grosso Case Number and 98-00477 Name of Respondents David Lemer Associates William Scheer REPRESENTATION OF PARTIES Jacqueline & Ralph Grosso ("Claimants") appeared pro se. For David Lemer Associates ("DLA") appeared Ruthann G. Niosi, Esq., a sole p

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Comprehensive Capital Corporation vs. Case No. 98-00471 Name of Respondents Brian F. Schantz Edward P. Flynn vs. Name of Third-party Respondents Steven Kevorkian Olga Scoppa Deborah Kevorkian Melanie Shadier REPRESENTATION For Claimant Comprehensive Capital Corporation ("Claimant") and Third-Party Respondents Steven Kevorkian ("K

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sturdivant & Co., Inc. vs. Case No. 98-00470 Name of Respondent & Counter/Third Party-Claimant Bufus Outlaw, Jr. vs. Name of Third-Party Respondents Albert A. Sturdivant Harvey R, deKrafft REPRESENTATION OF PARTIES Claimant, Sturdivant & Co., Inc. ("Sturdivant & Co."), and Third-Party Respondents Albert A. Sturdivant ("Sturdivant") and H

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William Dan Gotses, Claimant v. Wells Fargo Securities, Inc., Respondent. Case Number: 98-00469 Hearing Site: San Diego, California REPRESENTATION OF PARTIES Claimant, William Dan Gotses, Esq., hereinafter referred to as "Claimant": Philip M. Aidikoff, Esq., Aidikoff & Uhl, Beverly Hills, California. Respondent, Wells Fargo Securities, Inc., hereinafter referred to as "Respondent": Ro

AWARD NASD Regulation, Inc. George and Jo Bradley Wine, Claimants, and No. 98-00468 Timothy Oliver and Smith Barney, Inc: Respondents, REPRESENTATION Claimants George and Jo Bradley Witte represented themselves. Respondents Timothy Oliver and Smith Barney, Inc. were represented by Etta Gumbs, Esquire of Smith Barney, Inc. CASE INFORMATION The Statement of Claim was filed on or about February 6,1998. Claimants' Submission Agreemen

AWARD NASD'Regulation, Inc Arbitration No. 98-00466 In the matter of the Arbitration Between Name of Claimant(s) Network Capital Corporation Name of Respondent f s) Wilson-Davis & Company, Inc. REPRESENTATION For Claimant: Harold G. Christensen, Esq., Snow, Christensen & Martineau, Salt Lake City, Utah For Respondent: David R. King, Esq., Kruse, Landa & Maycock, L.L.C., Salt Lake City, Utah CASE INFORMATION Statement of Claim

AWARD NASD Regulation, Inc. _ _. In the Matter of the Arbitration Between Name Barry Maletsky and Eugene Beigelman and 98-00465 Name of Respondent WJ. Nolan & Company, Inc. REPRESENTATION OF PARTIES Barry Maletsky and Eugene Beigelman("CIaimants T ') were jeprtsentedby Steven J. Rotunno.Esq., Kubasiak, Crcmieux, Fylstra, Rcizen & ftotunno, P.C., Chicago, Illinois. WJ. Nolan & Company, Inc. ("Respondent 11 ) was represented by

AWARD \ NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Richard S. Johnston, Claimant, " v. No. 98-00462 A.G. Edwards & Sons, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Richard S. Johnston ("Claimant") was represented by Charles P. Kelly, Esq. of Farmington Hills, Michigan. Respondent A.G. Edwards & Sons, Inc. ("Respondent") was represented by William S. Port, Esq, of A.G. Edwards

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ralph and Margherita Alberto, (Claimants) vs. Nori, Hennion, Walsh, Inc. and Vincent M. LePre, (Respondents) Case Number: 00-05453 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Ralph and Margherita Alberto, hereinafter collectively referred to as "Claimants": James M. Porfido, Esq., Fullerton & Porfido, P.A., Succasunna, NJ. Respondent, Nori, Hennio