AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between William C. Schwenck, Claimant, and No. 96-02754 Piper Jaffray, Inc., Respondent. REPRESENTATION OF PARTIES Claimant William C. Schwenck was represented by Gail E. Boliver, Esquire of Boliver Law Firm, located in Omaha, Nebraska. Respondent Piper Jaffray, Inc. was represented by Michael A. G. Korengold, Esquire of Leonard, Street & Deinard, locat

BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. DEAN WITTER REYNOLDS, INC., ) CLAIMANT AND COUNTER-RESPONDENT, ) ) V. ) No. 96-02752 ) THOMAS MUNN, JR., ) Respondent and Counter-Claimant. ) CONTENTIONS OF THE PARTIES Dean Witter Reynolds, Inc. ("Dean Witter") initiated these proceedings by submitting its Statement of Claim, and accompanying Submission Agreement, in June of 1996. Dean Witter claimed that Thomas Munn, jr. ("Munn"),

i NASD Regulation, Inc., Award In the Matter of Arbitration Between Olde Discount Corporation, Claimant, and No. 96-02749 Godwin N. Chimagoro, Respondent. REPRESENTATION OF PARTIES Claimant, Olde Discount Corporation was represented by David M. Kuhna, Vice President, of Olde in Detroit, Michigan. I Respondent, Godwin N. Chimagoro did not file an appearance or an answer. CASE INFORMATION Claimant, Olde Discount Corporation's Statement

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Juan O. Garden and Juan O. Garden, Trustee under Juan O. Garden Trust Agreement, Claimant, v. 96-02748 Smith Barney, Inc., and Irwin Shayne, Respondents. REPRESENTATION OF PARTIES Juan O. Garden and Juan 0. Garden, Trustee under Juan O. Garden Trust Agreement, (" was represented by Alan G. Gearson, Esq., of Blumenfeld, Kaplan & Sandweiss

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Livingston Platt 96-02747 Name of Respondents A.S. Goldmen & Company, Inc. Edward S. Sapienza REPRESENTATION Claimant Livingston Platt ("Claimant") was represented by George R. Brown, Esq., Tucson, AZ. Respondent A.S. Goldmen & Co. ("Goldmen") was represented by Carole R. Bernstein, Esq,, Norwalk

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Russell R. Kuhlman, Gary A. Kuhlman, and Byron R. Kuhlman, Claimants, and Case No: 96-02745 A.G. Edwards & Sons, Inc., and James Ajlouny, Respondents. REPRESENTATION OF PARTIES Claimants Russell R. Kuhlman, Gary A. Kuhlman, and Byron R. Kuhlman (collectively referred to as "Claimants") were represented by Walter L. Baumgardner, Esq. of M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James E. Bennett as the Trustee of the James E. Bennett Living Trust James E. Bennett 96-02744 Name of Respondents Retirement Investment Group Gail Griseuk-Gentry Cullen Edward Baker, m REPRESENTATION For Claimants: Michael W. Pursley, Arbitration Research Consultants, Inc., Safety Harbor, FL. The Respondent Gail G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gregory G. Riggs 96-02735 Name of Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1996, claimant Gregory G. Riggs ("claimant"), who appeared Pro Se, alleged that respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("r

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martha W. Dickson Jeptha William Dickson Trust Martha W. Dickson Revocable Trust 96-02734 Name of Respondents -^Merrill Lynch Pierce Fenner & Smith, Inc. Albert R. Lucci Dean Witter Reynolds, Inc. tt^PR^ENTATION For Claimants: Joel S. Hanover, Esq., VeroBeachyFL. For Respondents Merrill Lynch Pierce Fenner & Smith,

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Barry and Dodie Dorf 96-02733 Name of Respondents Sovereign Equity Management Corp. Albert A. Matani, Jr. REPRESENTATION Claimants Barry and Dodie Dorf ("Claimants") appeared pro se. For Respondent Sovereign Equity Management Corp. ("Sovereign"): Thomas W. Hands, Director of Compliance at Sovereign, Boca Raton, Florida. Respon