AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants) David K. Stern and Julie Stern v. Name of Respondents) Lew Lieberbaum & Co., Inc. and Joseph Duarte NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-03335 REPRESENTATION For Claimants: For Respondents: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, CA Chase

Award NASD Dispute Resolution In the Matter of the Arbitration Between: < 7]flinjflftfjg Pflgp NlTTflbfT' 00-05148 Jon C. Gambold, Individually and as Trustee of The Gambold Family Trust, Trust A, M, & B and As Heir to the Estate of Robert Gambold; Marjorie Gambold, Individually and as Trustee of The Gambold Family Trust, Trust A, M, & B and As Heir to the Estate of Robert Gambold; and Leila Newton, Individually and As Heir to the Estate of R

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Gary Clemens Bonnie Clemens Arbitration No. 96-03330 Name of Respondents Titan/Value Equities Group, Inc. Greg P. Bourbeau REPRESENTATION OF PARTIES For Claimants: Jerome Sapiro, Jr., Esq., The Sapiro Law Firm, San Francisco, California. For Respondents: G. Thomas Fleming III, Esq., Jones, Bell, Simp

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Book and 96-03328 Name of Respondent Smith Barney, Inc. REPRESENTATION OF PARTIES William Book ("Claimant") was represented by Mark A. Levine, Esq., Minneapolis, Minnesota. Smith Barney, Inc. ("Respondent Smith Barney") and an individual Respondent were represented by Christopher B. O'Malley, Esq., Smith Barney, Inc., Ne

NASD REGULATION. INC, AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Carl F. DeVivo 96-03322 Name of Respondents Robyn Jeffrey Prime Charter Ltd. REPRESENTATION Claimant Carl DeVivo ("Claimant") was represented by David E. Rabbins, Esq. of the law firm of Kaufmann, Feincr, Yamin, Giidin & Robbins LLP, New York, NY. ; ' Respondent Robyn Jeffrey ("Jeffrey") was re

AWARD NASD REGULATION, INCORPORATED OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between James Buskirk, Claimant, and No. 96-03313 Thomas Lonergan, Christopher Holtkamp, Peter Lucina, and Tamaron Investments, Inc., Respondents. REPRESENTATION OF PARTIES For Claimant: James Buskirk ("Buskirk") was represented pro se. For Respondents: Thomas Lonergan ("Lonergan") was represented pro se. Christopher HoJtkamp ("Holtkamp") and Pe

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Edward De Joy v. Arbitration No. 96-03311 Name of Respondents Nationwide Securities Corporation, Ben Salmonese, Kevin Williams, and Marco Fiore REPRESENTATION For Claimant: Richard G. Richie, Esq. Inlgis, Ledbetter & Gower Los Angeles, California For Respondent Nationwide Securities Corporation: No Appearance For Re

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Rokade International, Inc., Claimant, and No. 96-03306 Legg Mason Wood Walker, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Rokade International, Inc. ("Claimant") was represented by L. Jerome Stanley, Esq. of Baton Rouge, Louisiana. Respondent Legg Mason Wood Walker Inc. ("Respondent") was represented by Bruce S. Kingsdorf, Esq. of Barr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bruce Bahula C/F Kristen Bahula 96-03304 Name of Respondents Janney Montgomery Scott Inc. William ,K Pearce CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 1. 1996, claimant Bruce Babula c/f Kristen Babula ("claimant"), who appeared Pro Se, alleged that res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce E. Eabula c/f Stephen Babula 96-03303 Name of Respondents Janney Montgomery Scott Inc. William J. Pearce CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 1, 1996, claimant Bruce E. Babula c/f Stephen Babula ("claimant), who appeared Pro Se, alleged that respon