NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Anthony Colao Louis Langer 96-03087 Name of Respondent(s) Josephthal Lyon & Ross Inc. REPRESENTATION For Claimants Anthony Colao and Louis Langer ("Claimants") appeared Roy A. Klein, located in Melville, New York. For Respondent Josephthal Lyon & Ross, Inc. ("Respondent") appeared Evan D. Jay, Esq., in-house counsel for Josephthal Lyon & Ross, located

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants James T. Martin Low Country OB/GYN Profit Sharing Plan 96-03086 Name of Respondents Fidelity Brokerage Services, Inc. William F. Morganweck Lore S. Brown Investment Management Advisory Services Fidelity Investment Advisor Group REPRESENTATION For Claimants James T. Martin ("Martin") and Low Country O/B GYN Profit Sh

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 96-03083 Name of Respondent Jay Gibson Rogers REPRESENTATION For Claimant: Lorraine M. Ferrigno, Esq. of the Law Offices of Mark J. Alonso, P.C., New York, New York. For Respondent: Gerald B, Kline, Esq. of the law firm of Suns Moss Kline & Davis LLP, Atlanta, Georgia. CASE INFORMATION Statement of Claim filed: July 16, 1

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Robert W. Isenberg 96-03078 Name of Respondents Donaldson Luikin & Jenrette Securities Todd N. Kanter REPRESENTATION For Claimant Robert W. Isenberg ("claimant") appeared Frederick T. Colder, Esq. of the law offices Bernstein, Colder & Miller, P.A., located in Boston, Massachusettes. For Respondents Donaldson Lufkin & Jenrette Securities ("DLJ") and Todd N. Kante

SEP-16.1998 1!29R1 NftSD REGULATION FL NO.593 P.16 NASD KtjBitoriqn, Inc. IntheMatotrfdu AibfcndocBorweai Divid G. $icele 96-03077 JW Chad* Steatite, bo. SccotW« f Inc., BoctlUttn, Ptorkt. , Boct Ctata B. Scitktt, £14. of JW Quttl« StttaDeaofOllmfilad: ^4y 15, 1996. Jnuiwy21, 1997, k < Subuduion Afnanent signed ecu YUM 21, 1996. 'i Sntnaat of Awwer md Couattnliim ffledr Mttcb 37, 1997. co Jtittondnff Coootwciibtt TDrd* St

-AUG. 4. 1993 NO. 710 p. 9 N.A.S.P. STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name oj Clflimanj. Frances E, Schweitzer 96-03074 Josephthal Lyon & Ross, Inc. D. Blech & Company, Inc. Brian Corday For Claimant: Frank A, Ligntmas, Jr., £sq, of the law firm of Lightmas & DeHc, Atlanta, Georgia. For Respondent Brian Corday ("Corday"): Jeffrey M. Smith, Esq. of

AWARD NASD Regulation, Inc. Dispute Resolution In the Matter of the Arbitration Between The Estate of Ronald H. Myhand, Claimant, vs. 96-03071 Joseph Charles & Associates, Inc., and Robert A. Pruzinsky, Respondents. REPRESENTATION OF PARTIES The Estate of Ronald H. Myhand ("Claimant") was represented by Richard G. Himelrick, Esq., of Byrnes & Himelrick, PLLC, Scottsdale, Arizona. Joseph Charles & Associates, Inc. ("JCA"), and Robert A, P

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ronald Oliva Sr., IRA 96-03069 Name of Respondents Shearson Lehman Brothers, Inc. Arthur Usherhoff REPRESENTATION For Claimant Ronald Oliva Sr., IRA ("Oliva"): Robert Wayne Pearce, Esq. of Lerner & Pearce, P.A., Fort Lauderdale, Florida. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Arthur Usherhof

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants John L. & Esther S. Bala 96-03064 Name of Respondent m^^^^^^^^^^^^^^^^^^^^^^^^* Smith Barney Inc. REPRESENTATION Claimants John L. & Esther S. Bala ("claimants") appeared pro se. For respondent Smith Barney Inc. ("respondent") appeared Linda R. Alpert, Esq., First Vice President and Associate General Counsel for respondent. CASE INFORMATION Statement of

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Synovus Securities, Inc. 96-03063 Namy of Respondent Johnny F.L. Barker, Jr. ^PRESENTATION For Claimant Synovous Securities, Inc. ("Claimant") appeared W.G Scrantom, Jr. of Page, Scrantom, Sprouse, Tucker & Ford located in Columbus, GA. Respondent Johnny F.L. Barker, Jr. ("Respondent") appeared pro se. CASE INFORMATION T