N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bruce Babula and Sandra L, Babula x 96-03302 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, claimants Bruce and Sandra Babula ("claimants"), who appeared Pro Se, alleged that respondents

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bruce E. Babula c/f Lauren K. Babula 96-03301 Name of Respondents Janney Montgomery Scott Inc. William J. Pearce CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation Inc. on August 1, 1996, claimant Bruce E. Babula c/f Lauren Babula ("claimant") who appeared Pro Se,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Founders Food & Firkins Ltd. and 00-05147 Minneapolis, Minnesota Name of Respondent Equity Securities Investments, Inc. Name of Third Party Respondents Robert Wayne Nielsen Luverne Robert Tolzmann REPRESENTATION OF PARTIES Founders Food & Firkins Ltd. ("Claimant") was represented by Jan Stuurmans, Esq., Law Offices of Jan Stuurmans, P. A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Cabral 96-03300 Name of Respondent Quick and Reilly, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 1, 1996, claimant Steven Cabral ("claimant"), who appeared Pro Se, averred that he maintained a margin account #111-25514 with respondent Quick & Reilly, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Babula, as Custodian for David Babula 96-03299 Name of Respondents Janney Montgomery Scoti Inc. William J. Pearce CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 1, 1996, claimant Bruce Babula, as custodian for David Babula ("claimant"), who appeared Pro Se,

NASD AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Allen F. Secor Donald Puff 96-03295 Name of Respondents Legend Equities Corporation Legend Investment Management, Inc. REPRESENTATION For Claimants Allen Secor and Donald Puff ("Claimants"): John E. Lawlor, Attorney at Law, Mineola, NY. For Respondents Legend Equities Corporation and Legend Investment Management,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Warren C. Gearrick 96-03293 Name of Respondents Dean Witter Reynolds Inc. William Piontek REPRESENTATION For Claimant Warren C. Gearrick ("Claimant") appeared Terrence Tormey, Esq. located in Hazlet, New Jersey. For Respondent Dean Witter Reynolds Inc. ("Respondent Dean Witter") appeared Laura Ro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation 96-03274 Name of Respondent Thomas L. Gray CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, Inc. on July 31, !996, claimant Olde Discount Corporation (referred to as "OLDE" or "claimant") through its representative and in-house counsel Steven D. Carby, Esq. a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC In the Matter of the Arbitration Between Name of Claimant Hugh W. Brock 96-03273 Name of Respondent Jason MacKenzie Securities, Inc. CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on July 31, 1996, claimant Hugh Brock ("claimant 11 ), who appeared Pro Se, alleged that in the fall of 1994, he made a phone cal

NASD Regulation, Inc.. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Maynard Zinn and 96-03269 pf Resondent Sovereign Equity Management Corp., Mark Trykowski, and Alex Rivera REPRESENTATION OF PARTTEft Maynard Zinn ("Claimant") was represented by Edward Russey III, Esq., Irvine, California. Sovereign Equity Management Corp. ("SEM"), Mark Trykowsky ("Trykowski"), and Alex Rivera ("Rivera">vere repr