N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Elizabeth L. Butenschoen 96-03867 Name of Respondent David R. Davis CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on August 30, 19%, claimant Elizabeth Butenschoen ("claimant"), who appeared Pro Se, alleged that respondent David Davis ("Davis") misled h

NOV.I2.1998 5:33PM NPGD BOCfl HO.876 P.2 i- • '-' N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Shallowford Orthopedic Clinic, P,A. 96-03866 Names oUtesnondents World Invest Corporation Henry F. Tegler Name of Third Party Respondent Kenneth A. Lehman REPRESENTATION For Claimant: Robert H. Potnam, Jr., Esq., Atlanta, Georgia. For Respondents World Invest

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Judith E. Garber, Claimant v. Brecek & Young Advisors. Inc. and Conseco Variable Insurance Co., Respondents Case Number: 00-05172 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Martin Garber Manhattan Beach, California For Respondent Brecek & Young Advisors, Inc.: John V. Young HI Brecek & Young Advisors, Inc. Folsom, California

-AUG. 4.1998 i:i0Ri NflSD REGULATION PL Nr 7in D j NO.r 10 p,b N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolutioa In the Matter of the Arbitration Between Natne of Claimant Terri D, Carroll 96-03857 Name of Jlespoiidentj PaineWebber, Inc. James Taylor REPRESENTATION For Claimant: DeanPappas, Esq. of Shackelford, Farrior, Stallings & Evans, Tampa, FL, For Respondents: Joseph A, Vallo, Esq. of Jospeph

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Shuang long, Claimant, v. Case Number 96-03856 Bonnie Vandenberg, and Robert William Koch, II, Respondents. REPRESENTATION OF PARTIES Claimant Shuang Tong ("Claimant") appeared pro se. Respondent Bonnie Vandenberg ("Vandenberg") was represented by Martin P. Unger, Esq. of Tenzer Greenblatt, LLP located in New York, New York. Respondent Vande

NASD Regulation, Inc., Award In the Matter of Arbitration Between Arthur W. Cooper, Jr., Claimant, and No. 96-03845 Investors Associates, Inc., and Colcman Flaherty, Respondents. REPRESENTATION OF PARTIES Claimant, Arthur W. Cooper, Jr., ("Cooper") represented himself during these proceedings. Respondents, Investors Associates, Inc., ("Investors Associates") and Coleman Flaherty ("Flaherty") were represented by M. David Sayid, Esq., of S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant MAMS Fund 96-03844 Name of Respondent Berlind Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 30, 1996, claimant MAMS Fund a partnership, through its General Partner Kenneth Stein ("claimant"), alleged that on July 1, 1996 he gave Harv

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Susan Saper and Julian Saper and NASD Case Number 96- 3842 Name of Respondent Dean Witter Reynolds, Inc. CASE INFORMATION Claimants Susan Saper and Julian Saper ("Sapers") filed the Statement of Claim on or about August 26, 1996. Claimants filed a rebuttal to Respondent's Statement of Answer of or about October 24, 1996. Cla

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Edward John Mitiu, Claimant, and No. 96-03836 Dickinson & Co.; John Colias; and Jeff Heider, Respondents. REPRESENTATION OF PARTIES For Claimant: Edward John Mitiu ("Mitiu") appeared pro se. For Respondents: Dickinson & Co. ("Dickinson"), John Colias ("Colias"), and Jeff Heider ("Heider") (hereinafter collectively referred to as "Respondents") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant \ Linda Matsumoto 96-03831 Name of Respondents Crowell, Weedon & Co. Tsutomu Uchida CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 28, 1996, Claimant Linda Matsumoto ("Claimant"), through her representative and counsel David Bortman, Esq., a solo practitioner