AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mike S. Taylor and 96-03645 Name of Respondents Paul Cantatore, and PaineWebber, Inc. REPRESENTATION OF PARTIES Mike S. Taylor ("Claimant") was represented by Michael Salcido, Esq., Phoenix, Arizona. Paul Cantatore ("Respondent") was not represented and failed to appear or respond in this arbitration. PaineWebber Incorporated ("PaineWebber") was rep

SENT BY: 11-12-98 ; 8:23AM ;NASD ARBITRATION DPT- 12122Q85165;#ll/24 AWARD NASD RLGUf-ATTON. INC.. QglCL OF D1SPUTH RESOLUTION [n the matter of the Arbitration Between NajTieptCJaimarit/s) Thomas and Cherylann Summons s "-••.~- / v. Name of I'inancia) Network Investment Corporation John Bracketc Bruce Kassab For Claimants: REPRESENTATION Scot D. Bernstein, Esq. Sacramento, California For Respondents FN1C and J

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between "" Kamiesh Chopra, Claimant, v. Case No, 96-03633 Merrill, Lynch, Pierce, Fenner & Smith, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Kamiesh Chopra ("Claimant") was represented by Edward M. Olson, Esq. of Velarde, Sugameli & Olson, P.L.C. located in Troy, Michigan. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent

N.A.S J>. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03627 John Topp, claimant v. Emmett A. Larkin Company, Inc., Burnett. Grey & Co., Inc. , and LaJolla Capital Corporation, respondents. ATTORNEYS: Claimant appeared Pro Se - Tupelo, MS. For Respondent Emmett A. Larkin, Inc. appeared Melvin Peterson - San Francisco, CA. Respondent Burnett, Grey & Co., Inc. failed to appear. For LaJolla Capital Corporation a

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Baruch Coleman Case No. vs. 96-03624 Name of Respondents Brookstreet Securities Corporation Stanley C. Brooks Virginia M. Brooks REPRESENTATION Claimant Baruch Coleman ("Claimant") appeared pro se. For Respondents Brookstreet Securities Corp. ("Brookstreet"), Stanley C. Brooks ("S. Brooks"), and Virginia M. Brooks ("V. Brooks") (collectively "Re

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of ClaimantCs) John L. Head 96-03622 Name of Respondents) Smith Barney Inc. Laura Baker Marileigh Hensley REPRESENTATION For Claimant John Head ("Head"): Jonathan E. Perlman, Esq. of Blum & Perlman, Miami, Florida. For Respondents Smith Barney, Inc. ("Smith Barney"), Laura Baker ("Baker") and Marileigh Hensley (Hensley"): Christopher O

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03618 Virginia O. Brinkman, claimant v. Don Dover, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Saint Petersburg, FL. For Respondent Julie Reed, Esq. - Detroit, MI. DATE FILED: 8/21/96 CASE SUMMARY: Claimant alleged misrepresentation in the sale of stock and dividend payout and the amount of commission charged. Claim Data Awa

JUN. 35.1998 11 : 52PM NftSD REGULATION INC NO. 153 P. 2 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitratioii Between Name of Walter and Shirley Henderson 96-03612 Name of .Respondents Great American Financial Network, Inc. Aegon USA Securities, Inc. Victor Verola Sharon L. Jackson-Burchett REPRESENTATION For Claimants: William J. Schifino, Jr., Esq. and Kenneth 0. Turkel, Esq. of the law firm o

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Lee H. Pearce v. Arbitration No. 96-03608 Name of Respondent^ Merrill Lynch, Pierce, Fenner & Smith, Inc. James Tenuto Michael Vorst John Folsom Linda Stirling REPRESENTATION For Claimant: Thomas R. Gill, Esq. and Judith Hartwig, Esq., Employment Law Center Incorporated, San Diego, California For Responde

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edwin W. Parrett and 96-03605 Name of Respondent Investors Associates, Inc. Jeffrey Mansfield REPRESENTATION OF PARTIES Edwin W. Parrett ("Claimant") was represented by Robert C. Roth, Jr., Esq., Kutak Rock, Denver, Colorado. Investors Associates, Inc. ("Respondent IAI") was represented by Lawrence R. Gelber, Esq., Inves