AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 96-00234 Name of Respondent Thomas C. Mason REPRESENTATION OF PARTIES For Claimant: Prudential Securities Incorporated was represented by Linda A. Gallagher, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. For Respondent: Thomas C. Mason appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Wallace J.L. Houde and Gwendolyn A. Houde NASD Arbitration v. No.96-00225 Name of Respondents J.B. Bogart and Associates and Bruce Bogart REPRESENTATION For Claimants: Richard Sacks Investors Recovery Service Novato, California For Respondents: J. Bruce Bogart J.B. Bogart and Associates Hermosa Beach, Cal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jess Huss vs. 96-00215 Name of Respondent Dean Witter Reynolds Inc. Darlene J. Palmer REPRESENTATION Claimant, Jess Huss appeared pro se. For Respondents, Dean Witter Reynolds, Inc. and Darlene J. Palmer, appeared Annemarie P. McAvoy, Esq. in-house counsel with Dean Witter Reynolds, Inc. CASE INFORMATION Statement o

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Sanford G. Powers Claimant NASD Regulation, Inc. v. No. 96-00212 Torrey Pines Securities, Inc. Frederick Marshall Kee Respondents REPRESENTATION OF PARTIES Sanford G. Powers ("Claimant") represented himself pro se. Torrey Pines Securities, Inc. ("Respondent") was represented by William F. Gunderson and Leonard J. Velis, Torrey Pines Se

Arbitration & Mediation National Association of Securities Dealers, Inc. * NASD Financial Center * 33 Whitehall Street * New York, NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW - 10th Floor * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Riley Francisco 96-00202 t Name of Respondents Barren Chase Se

I *- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael R. Christian 96-00199 Name of Respondents R. J. Steichen & Company Kerry Hiben CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1995, Michael R. Christian ("Claimant"), who appeared Pro Se, alleged that Respondents RJ. Steichen & Company ("RJS") and Kerr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tim Keyes 96-00186 Name of Respondents Vision Investment Group Chris Wolf REPRESENTATION Claimant, Tim Keyes, appeared pro se. Respondents, Vision Investment Group and Chris Wolf, did not appear at the evidentiary hearing conducted in this matter. CASE INFORMATION Statement of Claim filed: January 11, 1996 Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant(s) Brian P. Lamp NASD Arbitration v. No. 96-00183 Name of Respondent(s) Oak Ridge Investments, Inc. and David D. Ryan REPRESENTATION For Claimant Brian P. Lamp: Samuel Ynzunza, Esq. Denver, Colorado For Respondent Oak Ridge Investments, Inc.: Alan E. Molotsky, Esq. and Hogan, Marren & McCahill, Ltd. Chicago, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suzanne Higgins 96-00175 Name of Respondent Wheat First Securities. Fnc CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on January 12, 1996, claimant Suzanne Higgins ("claimant") who appeared Pro Se, alleged that respondent Wheat First Securities, Inc. ("Wheat") used erroneous l

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth D. Meehan 96-00167 Name of Respondents Schroder Wertheim & Co., Inc. Dickinson & Co. Kethe A. Cicconi William Alan King REPRESENTATION Claimant Elizabeth D. Meehan ("Claimant") was represented by Alfred J.T. Rubega, Esq., Concord, NH. Respondents Schroder Wertheim &. Co., Inc. ("Schroder") and Dicki