NASD REGULATION, INC. AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Eric Emst v. Arbitration No. 95-00522 Name of Respondents Stratum Oakmont, Inc., Dean S. Friedman, Leonard Dunn, Mathias Tiffert, Paul Byrne, Daniel Porush, Jordan Belfort, Michael J. Raskin and RMS Network, Inc. REPRESENTATION For Claimant: Ricki C, Ring, Esq. Jay R. Stein, Esq. Law Offices of Ric

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christopher G. Wye/Estate of Ernest A. Wye, Jr. Case No. 95-00521 Name of Respondent Chatfield Dean & Company REPRESENTATION For Claimant, Christopher G. Wye/Estate of Ernest A. Wye ("Wye"): George Franjola, Esq. of Allen, Dyer, Doppelt, Franjola & Milbrath, P.A., Orlando, Florida, For Respondent, Chatfield Dean & Company ("Cha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David McFarland and Patty McFarland 95-00519 Name of Respondents Eric R. Benke Continental Broker-Dealer Corp REPRESENTATION For Claimant David and Patty McFarland ("claimants") appeared Michael D. Freeman, Esq. of Balch & Bingham located in Birmingham, Alabama. For Respondents Continental Broker-Dealer Corporation ("Conti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. Giganti, M.D. 95-00516 Name of Respondents Greenway Capital Corp. Marc A. Russo REPRESENTATION For Claimant: James A. Devito, Esq. of Devito & Colen P.A., Largo, FL, For Respondent, Greenway Capital Corp. ("Greenway"): Ruthann G. Niosi, Esq., New York, NY. For Respondent, Marc A. Russo ("Russo"): Marc J. Ross,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert K. & Clare L. Neuman 95-00513 Name of Respondents Dean Witter Reynolds, Inc. Lee J. Sonko CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimants, Robert K. Neuman and Clare L. Neuman, who appeared Pro Se, alleged that on or about January 11, 1990, Respo

' N.A.S.D. AWARD « NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant KZ Co. 95-00512 Name of Respondents Piper Jaffray, Inc. John W. Goff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimant, KZ Co., who appeared Pro Se through its President, Keith Ziegenbein, alleged that Respondents, John W. Goff ("Goff") and Pipe

N.A.S.D, AWARD \ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00511 Name of Respondent Ronald Buchter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimant GKN Securities Corp. ("Claimant"), through its in-house counsel, (Catherine Nathan, Esq., alleged that Respondent Ronald Buchter ("Respondent") ent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter P. Palkowetz, Daniel P. Palkowetz, Timothy P. Palkowetz and Susan D. Palkowetz, joint tenants, Janet Hochroth, Alan Hochroth, individually and as Trustee of the Hochroth Family Trust, Judith Hochroth, Charles Allen and Phyllis Allen, Co-Trustees of the Allen Family Trust, Mary Dale Scheidt and Mel P. Scheidt, both in their individual capacities and as joint tenants, Julian B. Hyma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00510 Name of Respondent Steven E. Bryant CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1995, Claimant GKN Securities, Inc. ("Claimant"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that Respondent Steven E. Bry

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUUrfVgi; ;>:&/. ;. rf:. In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-00509 Name of Respondent Leandro Obenauer CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on January 31. 1995, claimant GKN Securities Corporation ("GKN") through its representative and in-house counsel Katherine Nathan, Esq. alleged that respondent L