N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant .? Alicia P. Manglapus 96-02901 Name of Respondent Cohig & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 8, 1996, Claimant Alicia P. Manglapus ("Claimant") through her representative, Steven S. Perlas, alleged that Respondent Cohig & Associates, Inc. ("Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Henry Canton 96-02900 Name of Respondents A.R. Baron & Co. Inc. (Bankrupt) Kevin McPhee CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation^ Inc., on July 8, 1996, claimant Michael Henry Canton, who appeared Pro Se, alleged that he instructed respondent, A.R. Baron & Co. Ina,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Craig G. Griffeth 96-02899 Name of Respondents Hubert-Rosche Securities, Ltd. Buttonwood Securities, Inc. Michael Lipkin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 8, 1996, claimant Craig G. Griffeth ("claimant"), through his representative and counsel, Julian D. Jensen,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Kevin Richard Keams Case No. 96-02897 James M. Clemente Brett A. Fahlikman Hearing Site- New York, New York PF.PPFfiF.NTATrnM flF PAPTTFS Claimant Kevin Richard Kearns referred to as "Claimant" represented himself. r . Respondents James M. Clemente ("Clemente") and Brett A. Fahlikman ("Fahlikman") collectively referred to as "Respondents" were represented by Robert

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namt Thomas E. and C. Juanita Haislip 96-02891 Name of Respondents Retirement Investment Group Thomas Cannon Gail A. Gentry TEI Strategies, Inc. REPRESENTATION For Claimants: Michael Pursley, Esq., Safety Harbor, Florida. For Respondent Retirement Investment Group ("RIG"): James Thornton of RIG. Respondent Thomas Cannon ("Cannon") a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Scott Peterson and 96-02890 Name of Respondent Lewis, deRozario & Company, Inc. John R. Green BenjaminHirsh Timothy E. Nelson REPRESENTATION OF PARTIES Scott Peterson ("Claimant") was represented by Gene R. Thornton, Esq., Colorado Springs, Colorado. Lewis, deRozario & Company, Inc. ("Respondent LDR"), John R. Green

Stipulated Award NASD Dispute Resolution In The Matter of the Arbitration Between: First Union Securities, Inc., Claimant, Vs. Donald T. Cavett, Respondent. Hearing Site: Dallas, Texas Case Number: 00-05100 REPRESENTATION OF PARTIES Thomas A. Volz of Kane & Fischer, Ltd., Chicago, Illinois, represented Claimant, First Union Securities, Inc., now known as Wachovia Securities, Inc. A.R. Rodriguez of Lynn Tillotson & Pinker, L.L.P., Dal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant PaineWebber, Inc. 96-02884 Name of Respondent Theodore A. Molnar REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Peter J. Bado, Esq., PaineWebber, Inc., Los Angeles, California. Theodore A. Molnar ("Respondent") represented himself pro se. CASE INFORMATION The Statement of Claim was fil

N.A.S.D. Regulation AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant JW Charles Securities, Inc. 96-02879 Name of Respondent Anthony Dinota CASE SUMMARY In a case filed National Association of Securities Dealers Regulation, Inc. on July 8, 1996, claimant JW Charles Securities, Inc. ("JWC" or "claimant") through its representative and in-house counsel Gregory Tenderich, Esq. alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. NASD CASE NO. 96-02878 Name of Respondent Donald Michlin REPRESENTATION For Claimant: Gregory Tendrich, Esq., Assistant General Counsel of J.W. Charles Securities, Inc. For Respondent: L. Van Stillman, Esq., Law Offices of L. Van Stillman, Boca Raton, Florida. CASE INFORMATION Statement of Clai