N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harvey E. and Elsie E. Thompson 95-01403 Name of Respondents Lance R. Cuoco Lew Lieberbaum & Co., Inc. CASE SUMMARY in a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimants Harvey E. and Elsie E. Thompson ("Claimants"), who appeared Pro Se, alleged that Respondents Lew Lieberb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * > Name of Claimants Norman and Marcia Brooks 95-01402 Name of Respondents PaineWebber, Inc. James E. Bandler Ladenburg/Thalmann & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995 Claimants Norman and Marcia Brooks ("Claimants"), who appeared Pro Se, alleged that it held

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Richard L. Bennan 95-01401 Narna of Respondents Stratton Oakmont,Inc. Darnell Beall CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on March 20, 1995, Claimant, Richard L. Bennan, who appeared Pro Se, alleged thai Respondent Dairell Beall of the Respondent firm, Stratton Oakmont, Inc., recommend

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles W. G. Caruso 95-01399 Name of Respondent A.T. Brod&Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant Charles W. G. Caruso, who appeared Pro Se, alleged that Respondent, A.T. Brod & Co., Inc. incorrectly approved a trade on Claimant's account whi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECIJRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome T. Butkus 95-01398 Name of Respondent Thomas James Associates CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimant Jerome T. Butkus, who appeared Pro Se, alleged that Respondent Thomas James Associates, Inc. ("TJA"), through its representatives Brad Silver (

12. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant PaineWebber, Inc. NASD Arbitration No.95-01396 Name of Respondent Fred J. Kaping REPRESENTATION For Claimant: Catherine Pratt, Esq., Paine Webber, Inc., Los Angeles, California For Respondent: Respondent did not enter an appearance. CASE INFORMATION Statement of Claim filed: March 20, 1995 Claimant's S

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Tom George Mueller, and Marsha Rose Mueller. Claimants. No. 95-01395 Bear Stearns & Co., Inc.. and Ronald Scott Diamond. Respondents. REPRESENTATION OF PARTIES Claimants Tom George Mueller and Marsha Rose Mueller ("Claimants") were represented by Gaar W. Steiner, Esq. and Heidi J. Zeeb. Esq. of Steiner & Schoenfcld located in Milwaukee. Wisc

I Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven E. Brown, Claimant v. Cal Fed Investments, California Federal Savings and Cynthia Robinson, Respondents Case Number: 00-04645 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Steven E. Brown: For Respondents Cal Fed Investments, California Federal Savings and Cynthia Robinson: William E. Winfield, Esq. Nordman,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Prime, Smith & Co. Name of Respondents Luther, Smith & Small, Inc. and Michael Luther For Claimant: For Respondent: REPRESENTATION Jeffry M. Bauer, Esq. Grosse Pointe, Michigan Audwin Carey Spence Inglewood, California CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Esther and Steven Cohen 95-01389 Name of Respondent Bane One Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1995, Claimants Esther and Steven Cohen ("Claimants"), who appeared Pro Se, alleged that Respondent Bane One Securities Corporation ("Responden