N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Meyers Pollock Robins, Inc. 96-04431 Name of Respondent Annie D. Cheng CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 7, 1996, claimant Meyers Pollock Robins, Inc. ("MPR" or "claimant") through its representative and in-house counsel Louis Miron, alleged t

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Proceeding Between May Financial Corporation, Claimant, Vs. G.T. Properties, Inc., Respondent, Vs. Northstar Securities, Inc., Third-Party Respondent. Case Number: 01-02157 Hearing Site: Cleveland, Ohio REPRESENTATION OF THE PARTIES Claimant/Counterrespondent May Financial Corporation ("May") was represented by Corbet F. Bryant, Jr., Esquire, of C

NASD REGULATION, INC. AWARt) In the Matter of the Arbitration Between Name of Claimant CIBC Wood Gundy Securities Corp. ^ Case No. vs. 96-04429 Name of Respondent Alpine Associates REPRESENTATION For Claimant CIBC Wood Gundy Securities Corp. ("Claimant") appeared Henry Flowers, General Counsel for the firm CIBC Wood Gundy Securities Corp. located in New York, New York. For Respondent Alpine Associates ("Respondent") appeared Erwin Shustak, o

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Vladimir J. Kalas and Eva Kalas 96-04426 Name of Respondents Sterling Foster & Company, Inc. Charles J. DiStefano Adam R. Lieberman REPRESENTATION Claimants Vladimtt^-K^s^d" 1 ^^ O'Connor Esq. of the law firm of Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander, P.C., Albany, New York. Respondents Sterling Foster & Co. ("Sterling Fo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Wheat First Securities, Inc. 96-04424 Name of Respondent Jeffrey L. Cox REPRESENTATION Claimant Wheat First Securities, Inc. ("Claimant") was represented by Mark J. Krudys, Esq., LeClair Ryan, Richmond, VA. Respondent Jeffrey L. Cox ("Respondent") was represented by Philip J. Murren, Esq., Ball, ~ Sk

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04423 Dennis L. McGuire & Gloria E. Padron, claimants v. Investors Associates, Inc, William Cutrone and Glenn Lavender, respondents. ATTORNEYS: For claimants appeared Dennis L. McGuire - Miami, FL. For Respondents appeared M. David Sayid, Esq. - Hackensack, NJ. DATE FILED: 10/4/96. CASE SUMMARY: Claimants alleged unauthorized purchase of securities, failur

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04422 Chwen-Jiann Fang and I-Fen Hu, claimant v. E*Trade Securities, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se - Palo Alto, CA. For Respondent Bob Salvador, Compliance Analyst - Palo Alto, CA. DATE FILED: October 4, 1996. CASE SUMMARY: Claimants alleged failure to timely execute KLAC stock sell order. Claim Data Award Data Claim: $875

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Henry Murad 96-04421 Name of Respondent State Street Capita! Markets Corp. REPRESENTATION Claimant Henry Murad ("claimant") appeared pro se. For respondent State Street Capital Markets Corp. ("respondent") appeared John of the law offices Gursae, Kaplan & Bruno located in New York, New York. HoweVe^i Jonfi V Bersin, Esq. withdrew as counsel for the respondent pri

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Deborah Sherman v. • Arbitration No. 96-04420 Name of Respondents John Dawson & Associates. Ravi Yanamadula. Deron Coleman and Marc Willis REPRESENTATION For Claimant: Barbara Olsen. Esq. Santa Barbara. California For Respondents: Thomas P. Ward. Esq. McBride. Baker & Coles Chicago. Illinois CASE INFORMATION

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between . Wally Connard, Claimant, and No. 96-04417 Perry Raphan, and Renaissance Financial Corp., Respondents. REPRESENTATION OF PARTIES Claimant, Wally Connard, was represented by Michael Salcido, Esquire, located in Scottsdale, Arizona. Respondent, Renaissance Financial Corp., was represented in the pleadings and at the hearing by Roger J. Schwarz, E