AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mary Buchingnani, Claimant, v. 96-04401 -^Vining-Sparks IBG, Limited Partnership, Vining-Sparks Securities, Inc., and James Vining, Respondents. REPRESENTATION OF PARTIES Mary Buchingnani ("Claimant") was represented by Alan G. Crone, Esq., of Wilder, Crone, ,, fr ~ Johnston, Mason&.Goodwin, I?X.C., Memphis, Tennessee. . . ;

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Guennadi Razouvaev, Claimant, v. Schroder, Wertheim & Co., Inc., State Street Capita] Markets Corp., and Raymond E. Koza, Respondents, and No. 96-04398 State Street Capital Markets Corp., 'v.' Raymond E. Koza, Cross-Respondent. REPRESENTATION OF PARTIES Claimant Guennadi Razouvaev ("Claimant") was represented by Michael H. Du

FROM :CHICPIGO HRBITRRTION 31223E9239 1998,10-22 07IE2 ttG41P.02/06 AWARD NASD Regulation, Inc, Office of Dispute Resolution In the Matter of the Arbitration Between Dean Witter Reynolds, Inc., Claimant, v. No. 96-04396 Rauscher Fierce Refsnes, Inc., and Thome Robafin, Respondents. REPRESENTA^QN OF PARTIES Claimant Dean Witter Reynolds, Inc. was represented by Paul M. Green, Esquire of Lang, Ladon, Green, CogWan & Fisher located in San A

Second Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Ahlstedt, Jeffrey D. Franklin, and David Unsworth, Claimants v. Broadmark Capital Corporation, Stephen J. DeGroat, and Joseph L. Schocken, Respondents Case Number: 01-02144 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Anthony M, Englese, Esq. Law Offices of Anthony M. Englese San Francisco, California Patrick

AWARD In the Matter of the Arbitration Between Name of Claimants Howard Bloomberg, et al. Case No. 96-04394 vs. Name of Respondents D. Blech & Company, Inc. David D. Blech Mark R. Sherman REPRESENTATION For Claimants, Barnet Bloomberg, Howard Bloomberg, Seleciek, Inc., PDI, Inc. d/b/a Computers R ME, All Comp., etc. Repaired, Inc., Networking & Peripheral Distributing (PTY) Ltd., as successor in interest to Computing Distributors Int

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Chad Spencer, Claimant, and No. 96-04393 Michael Saunders, James Konaxis, and Charles Abrey, Respondents. REPRESENTATION OF PARTIES Spencer appeared pro se. . i, Mchael Saunders, James Konaxis, and Charles 'Abrey,were representec ,, . _ A. Murphy, Esquire of Oppenheirner & Company, Incorporated, located in New Yorj^yew Ydnc; r " \ CASE INFORMATI

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' Name of Claimant Phyllis F, Jones 96-04392 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 2, 1996, claimant Phyllis Jones ("claimant") who appeared Pro Se, alleged that respondent Charles Schwab & Company, Inc. ("Schawb") mislead he

N.A.S.D. Regulation AWARD In the Matter of the Arbitration Between , Name of Claimant John R. Smilovich 96-04389 Name of Respondents Kensington Wells Incorporated Edwin Lawrence, Jr. CASE SUMMARY In a case filed with the National Assocahrion of Securities Dealers Regulation, Inc. on October 2, 1996, claimant John Smilovich ("claimant"), who appeared Pro Se, alleged that respondents Kennsington Wells Incorporated ("KWI") and Edwin Lawrence ("

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Vern W. & Janet I. Vanderbur Vern W. & Janet I. Vanderbur as Trustees of the Money Purchase Plan and Profit Sharing Plan of Western State Elevator Co., Inc. 96-04388 Name of Respondents Stratton Oakmont, Inc. Daniel Mark Porush Robert William Koch Marc Ocello REPRESENTATION OF PARTIES For Cla

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Colin Joyston-Bechal 96-04386 Name of Respondents Raymond James & Associates, Inc. Larry C. Hill REPRESENTATION OF PARTIES For Claimant Frank R. Brady, Esq. and Jeanne Brady of the law firm of Brady & Brady, '""•"•Ftatbh/FIOfldaV .-••'•-.-'-- --> " - " ; - : ^ : >..-—"-=-""-- : --- • ••fc-'-^VBfrf