AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Mary Jochim and Case Number 96-03670 Name of Respondent Kirkpatrick Pettis Smith Polian, Inc. REPRESENTATION OF PARTIES Claimant Mary Jochim was represented by John Ryan, Esq. of Fraser, Stryker, Vaughn, Meusey, Olson, Boyer & Bloch, P.C. located in Omaha, NE and by Steven E Rau, Esq. of Rau & Floyd, PLLP located in Min

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03669 Enrique A. Desio, claimant v. Merrill Lynch Pierce Fenner & Smith Inc and Casper Casparian, respondents. ATTORNEYS: Claimant appeared Pro Se. - Sam Ramon, CA. For Respondents Appeared Kevin P. Kane, Esq., in-house-counsel for Merrill Lynch, Pierce, Fenner & Smith Inc. New York, NY. DATE FILED: 8/26/96. CASE SUMMARY: Claimant alleged churning,

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants William and Jerry Gerbasi v. Name of Respondents Financial Network Investment Corp., Titan/Value Equities Group, Inc., CAI Securities Corporation, Theodore Ragsdale, Frank King, Lawrence J. Lucas. Ernest Lavagetto. and Brian Tarbox Arbitration No. 96-03668 For Claimants: For Respondents: REPRESE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dabney P. Murrill 96-03657 Name of Respondent Josephthal Lyon & Ross Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 23, 1996, claimant Dabney P. Murrill ("claimant"), who appeared Pro Se, alleged that on two occasions unauthorized tra

Award NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between Marc S. Goldberg Case No. 00-05167 Samuel J. Augustine ng .Site- Philadelphia, PA Claimant, Marc S. Goldberg ("Goldberg"), hereinafter referred to .as "Claimant": Sol R Weiss, Esq., Anapol, Schwartz, Weiss, Cohan & Feldman, Philadelphia, PA. Respondent, Samuel J. Augustine ("Augustine"), hereinafter referred to as "Respondent": Jay A. Dubow, Esq., Wolf Block Schorr & So

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gordon Waite 96-03654 Name of Respondents A.G. Edwards & Sons, Inc. Jack L. Stapleton CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 23, 1996, claimant Gordon Waite ("claimant") through his representative and counsel Jeffrey P. Yashinsky, Esq., of the law firm Wei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ARBITRATION DEPARTMENT SHERMAN PLOTKIN and SELMA L. : PLOTKIN, : Claimants, : : NASD ARBITRATION v, : NO. 96-3653 WILLARD L. UMPHREY and U.S. BOSTON : CAPITAL CORPORATION, : Respondents. : STIPULATED AWARD In view of the fact that Claimants Sherman Plotkin and Selma L. Plotkin and Respondents Willard L. Umphrey and U.S. Boston Capital Corporation have reported to the NASD that they set

AWARD NASD REGULATION. IMC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Olawunmi Hassan Arbitration No. 96-03652 Name of Respondent(s! Taj Global Equities, Inc. Wilber Jurdine REPRESENTATION For Claimant: Olawunmi Hassan, San Jose, California For Respondents: Wilber Jurdine, Tampa, Florida CASE INFORMATION Statement of Claim filed on or about: July 8, 1996 Addendum to Statement o

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Stanley Levinson Cristina Hayes Arbitration No. 96-03649 and Name of Respondents Sutro & Company, Inc. Michael Axelrod REPRESENTATION OF PARTIES Stanley Levinson and Cristina Hayes ("Claimants") were represented by Arthur Leider, Investors Arbitration Specialists, Inc., San Diego, California. Sutro & Company, In

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between The Isherwood Trust C, by and through its Co-Trustee and Beneficiary Arlene Isherwood and Temporary Co-Trustee William Isherwood, Claimants, v. No. 96-03648 Michael L. Schrank, and Dain Bosworth Incorporated. Respondents. REPRESENTATION OF PARTIES Claimants The Isherwood Trust C, by and through its Co-Trustee and Beneficiary Arlene I