AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Theodore F. Meves, Claimant, v. No. 96-03429 First Midwest Securities, Inc. f/k/a Ablestrong Securities, Inc., and The Investment Center, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Theodore F. Meves ("Claimant") was represented by John C. Kelly, Esq. and Scott J. Link, Esq. of Ackerman, Link & Sartory, P.A. located in West Palm Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara and Leonard Weissman Leonard Weissman Revocable Trust 96-03424 Name of Respondent Golden Harris Capital Group CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 9, 1996, claimants Barbara Weissman and Leonard Weissman individually and as Trustee on behalf of the Leonar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy R. Magee 96-03420 Name of Respondent Nationwide Financial Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1996, claimant Dorothy R. Magee ("claimant"), who appeared Pro Se and acting under Power of Attorney for her mother, Dorothy R. Magee, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 96-03417 Name of Respondent John Bruggman For Claimant Prudential Securities, Inc. ("Prudential") appeared Peter von Maur, Esq., in house counsel for Prudential Securities, Inc. located in New York, New York. For Respondents Invest Financial Corp. ("Invest") and John Bruggman ("Bruggman") appeared George

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Cruttenden Roth, Inc. v. Arbitration No. 96-03412 (Consolidated with 96-03410 and 96-03411) Name of Respondents John Laurienti, Bryan Laurienti and Joe Murdoch REPRESENTATION For Claimants: John R. Loftus, Esq. Paul I. Hamada, Esq. Keesal, Young & Logan Long Beach, California For Respondents: Simon S. Kogan, Esq

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name .of Claimant R. J. Steichen & Company 96-03407 Name of Respondent Kelly Neilsen CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on August 8. 1996. claimant R.J. Steichen & Company ("R.J. Steichen") through its representative and in-house counsel Ann Exline Starr, alleged that respond

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 96-03406 Name of Respondent Lanis D. Noble REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant") was represented by Steven P. Gomberg, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Lanis D. Noble ("Respondent") was represented by James C. Rhoden, Esq., Columbia, Mississippi.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anatoly Goldenshteyn 96-03401 Name of Respondent The Chase Manhattan Investment Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1996, claimant Anatoly Goldenshteyn ("claimant"), who appeared Pro Se, indicated that in August 1993 he purchased 30 year Treasury Bonds ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jung-Hsien and Tze-Jau Tsao 96-03398 Name of Respondents Dean Witter Reynolds Inc. Andrew Kronitz CASE SUMMARY ^- In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1996, claimants Jung-Hsien and Tze-Jau Tsao ("claimants"), through their representative and counsel, Robert H. Putnam,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between ONB Investment Services, Inc. Case No. 00-05150 Name Mark R. Edwards; Lisa L. Thomas; and Jill M. White Claimant/Counter-Respondent ONB Investment Services, Inc. ("ONB") was represented by Mark J. R. Merkle, Esq., of Krieg Devault Alexander & Capeheart, LLP, located in Indianapolis, Indiana. Respondents/Counterclaimants Mark R. Edwards ("Edwards"), Lisa L. Thoma