N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants Walter F. and Doris V. O'Loughlin 92-02573 Name of Respondents Lew Lieberbaum & Co., Inc. David L. Weintraub For Claimants Walter F. and Doris V. O'Loughlin ("Claimants"): Charles Bagtey IV, Esq. of the law firm of Council, Baradel, Kosmerl & Nolan, P.A. For Respondent Lew Lieberbaum & Co., Inc. ("LLC"): Jay Marc Israel, C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant C. Stedman Morris IH 92-02570 Najne of Respondents J. Lee Peeler & Co., Inc. Jonathan Peeler REPRESENTATION For Claimant, C. Stedman Morris m ("Morris"): James Luke, CFA and Paul P. Hinkle, Esq. For Respondents, J. Lee Peeler & Co., Inc. ("Peeler & Co.") and Jonathan Peeler ("Peeler"): Paul K. Sun, Jr., Esq. of Smith, H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in tne Matter ot the Arbitration Between Name of Claimant Abe Al-Zokm Case* v. 92-02569 Name of Respondents Cantella& Co., Inc. Tanveer Ahmad George Rosen REPRESENTATION For Claimant: Abe Al-Zokm appeared pro se. For Respondents: Cantella & Co., Tanveer Ahmad, and George Rosen: Ruthann G. Niosi, Esq. CASE INFORMATION Statement of Claim filed: August 4, 1992. Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Nani" or Claimants Joanne, Rose and Charles Galloshian NASD Arbitration No. 92-02567 Name of Respondents Gilford Securities, Inc. Marvin H. Ingram REPRESENTATION For Claimants: H Thomas Fehn, Esq., Fields, Fehn £ Sherwin, Los Angeles, California For Respondent Gilford Securities: Timothy D. McGonigle, Esq., Ruben, Crispi & McG

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants MDM Construction Co.. Inc. Pension Plan, and Ferdinand and Marsha Marchese. individually and as Trustees of MDM Construction Co.. Inc. Pension Plan No. 92-02566 Name of Respondent Stratton Oakmont. Inc. Casey Karry Richard Branson ~~ ^PRESENTATION OF FARTHER For Claimants: Ronald P. Kane. Esq., and Diane C.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matier of the Arbitration Between Mame of Claimant(s) Arthur G. Miliigan Chester W. Miliigan. Individually and as Personal Representatives of the Estate of Gertrude H. Miliigan Case No. 92-02563 Name of Respondent^ A.G. Edwards & Sons, Inc. Walter Wanvig REPRESENTATION For Claimants. Arthur G. Miliigan (" A. Miliigan") and Chester W. Miliigan ("C. Miliigan"), Indivi

P" 1 I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Carl R. Meisner Claimant CASE #92-02557 AWARD vs. Greg Traina Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1992. Claimant Carl R, Meisner who appeared Pro Se, alleged that he was introduced to Respondent Greg Traina, Account Executive with Whale Secu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dana Shibley, Claimant vs. Charles Schwab & Co., Inc. and Excite, Inc., Respondents. Case Number: 99-03274 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Dana Shibley, hereinafter referred to as "Claimant": Thomas G. Best, Esq., San Francisco, California Respondent, Charles Schwab & Co., Inc. ("Schwab"): Gregory M. Scanlon, Esq., Charles Schwab

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin Stem 92-02555 Name of Respondents First Nutley Securities, Inc. Ameritrade, Inc. v CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1992, Claimant Martin Stem, who appeared Pro Se, alleged that he asked Mr. German Ramos, registered representative from Res

N.A.SJ). AWARD NATIONAL ASSOCIATION «F SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas F. Miller, Trustee for the Bankruptcy Estate of Dftfe R Baxiage and Date E. Bariage and 92-02554 Dean Witter Reynolds, lac. Thomas F. Miller, Trustee for the Bankruptcy Estate of Date E. Badage ("Mate") was represented at the heating by Kevin W. Rouse, Esq., Minneapolis, Minnesota. Claimant DateH. Bariage ("Bariage") was repieJentcdatt