AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Margaret Archer Claimant, and No. 96-04416 Boris Glikberg, and Whitehouse & Moore Investments, Inc., Respondent. REPRESENTATION OF PARTIES For Claimant: Margaret Archer ("Claimant") was represented by Patrick T. Driscoll, Jr. Esq. of Hickey, Driscoll, Kurfirst, Patterson & Melia, located in Chicago, Illinois. For Respondents; Boris Glikberg ("Gl

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Level Propane Gases, Inc. 96-04412 Name of Respondents Smith Barney Shearson, Inc., now known as Smith Barney Inc.; Lawrence]. Milne; Fareed Siddiq REPRESENTATION For Claimant: Level Propane Gases, Inc. ("Level Propane") was represented by Hugh McKay, Esq. of the Law Offices of Porter, Wright, M

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Proceeding Between May Financial Corporation, Claimant/Counterrespondent, Vs. S.S.T. Insurance Agency, Inc., Respondent/Counterclaimant/Third-Party Claimant, Vs. Northstar Securities, Inc., Third-Party Respondent. Case Number: 01-02152 Hearing Site: Cleveland, Ohio REPRESENTATION OF THE PARTIES Claimant/Counterrespondent May Financial Corporation ("Ma

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 96-04411 Henry Jisrawi Rima Jisrawi Claimant vs. Wedbush Morgan Securities, Inc. Walter MacCarron Respondent REPRESENTATION OF PARTIES For Claimants: Henry Jisrawi, San Francisco, California -For-Respondents;- Marie .Eaton and Arrnen.Sebastian, Esq., Wedbush Morgan Securities, Inc., Los Angeles, Califo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. in the Matter of the Arbitration Between Name of Claimant Benjamin B. Lipton Trust 96-04410 Name of Respondent Vanguard Brokerage Services CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 3, 1996. claimant Benjamin B. Lipton Trust ("claimant"), who appeared Pro Se, alleged that respondent Vanguard Brok

AWARD NASD Regulation, Inc. Office of Dispute Resolution Arbitration Between Helen K.Mathieson, Claimant and Counter-Respondent, v. Charles Schwab & Co., Inc., Respondent, Counter-Claimant, and Cross-Claimant, No. 96-04408 V. Gary A. Wawrzaszek, Respondent and Cross-Respondent. & Hoops, P.L.C. located in Farmington Hills, Michigan. Respondent, Counter-Claimant, and Schwab") was represented by Steven Lanum, Esq. California. Re

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Merrill Lynch Pierce Fenner & Smith Inc Michael W. Reese 96-04407 Name of Respondent Gregory C. Alexander Name of Third-Party Respondent Walter Michael Welsh CrairnahTrMerrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and MichaelW ; Reese ("Reese-) as well as Third-Party Respondent Walter Michael Wels

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas F. McKiernan 96-04406 Name of Respondent Armata Partners, L.P. REPRESENTATION For Claimant Thomas F. McKiernan ("Claimant") appeared Donald D. Brown, Jr.. Esq., of Spiegel, Brown, and Fichera located in Poughkeepsie, New York. For Respondent Armata Partners, L.P.("Respondent") appeared Keara M. O'DonneLl, Esq., of Piper

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Lawrence D. Ryan, Claimant, and No. 96-04403 Merriil Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. as plan sponsor, plan administrator, and as named fiduciary for the Merrill Lynch & Co., Inc. Salary and Benefit Continuation Policy and the Merrill Lynch & Co., Inc. Health Benefit Plan, Respondents. T7. ~ REPRESENTATIO

BWB-WOO 01 tffliMt FraHfASP AWARDS +2)2BU4141 T-044 P.tOt/OU F-72Q Award NASD Regulation, Inc. 10 ihe Matter of ihc Arbitration Between Name of f InJmanr Case No. 96*04402 Names of Respondents Nigel A. Ramsay William Rotfgers Sapemon Financial, Inc. Justus Russell Sackett. Jr. Conrad Hugh Laniz Willard B. Sapersron MarkBarbera John D. Morgan '->'BtiiiEst-M. Bush Ramsay. Rodgers &Lamz,Ir»c; , f 4^&&^ "-^^^ REPRESEN