AWARD NASD RECITATION INC.. OFFICE OK DISPUTE RESOLUTION In the mailer of the Arbitration Between Name of Claimant Glenn Tcubcr. as Executor of the Estate of Charles \V. I lall and as Trustee of the Charles W Hall Trust, dated 2/1/85 Arbitration No. 96-04152 Name of Respondents Pacific Coast Financial Securities. Inc.. Douglas E. Ashman. Thomas Cans. John M. Kliminski, Don Morandini REPRESENTATION For Claimant: For Respondent Pacific

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Greif&Co. v. Name of Respondents Valley Industries, Inc., Duane H. Zobrist, R. Phillip Zobrist, Richard Zobrist, E. Mark Zobrist, Gerry Zobrist, and Lloyd Benson Arbitration No. 96-04151 and Name of Counterclaimants Valley Industries, Inc., Duane H. Zobrist, R. Phillip Zobrist, Richard Zo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paul R. Trueblood Case No. vs. 96-04147 Name of Respondents Joseph Teseo Daniel R. Porush Stratton Oakmont, Inc. REPRESENTATION For Claimant Paul R. Trueblood ("Claimant") appeared Ralph A. Gant, Esq., of the firm Morris & McVeigh, LLP located in New York, New York. For Respondents Daniel M. Porush ("Porush"), Stratton Oakmont, Inc. ("Stratton")

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Heller Insurance Agency, Inc. Employee Profit Sharing Plan v. Arbitration No. 96-04145 Name of Respondent^ Robert Tretiak For Claimant: Stanford J. Heller, Trustee, Las Vegas, Nevada. For Respondent: Robert Tretiak, Las Vegas, Nevada. CASE INFORMATION Statement of Claim filed: September 16, 1996 Claimant's Submiss

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bernard Wartenberg 96-04143 Name of Respondents Thomas Scipione Chemical Investment Service Corp. REPRESENTATION Claimant, Bernard Wartenberg, ("claimant"), appeared Pro Se. For Respondents, Chemical Investment Service Corp, ("CISC"), and Thomas Scipione ("Scipione"), appeared, Gayle A. Mandaro, Esq., in house counsel for responden

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jon Muha 96-04140 Name of Respondent Smith Barney Inc. REPRESENTATION For claimant Jon Muha ("claimant") appeared Scott Michael Hare, Esq. of the law firm Bartony, Hare & Edson located in Pittsburgh, Pennsylvania. For respondent Smith Barney, Inc. ("respondent") appeared its in-house counsel, Paul K

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04139 Nairn J. and Tamar M. Gubbay, claimants v. PaineWebber, Inc., Kim Michalak and Vikas Mehrotra, respondents. ATTORNEYS: For Claimants Claimants appeared Pro Se. - New York, New York. For Respondents Romaine Gardner, in-house-counseJ for Paine Webber Incorporated - Weehawken, New Jersey. DATE FILED: September 16, 1996. CASE SUMMARY: Claimant al

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Eileen P. Boland 96-04137 Name of Respondents First Montauk Securities Corp. Richard Jacaruso REPRESENTATION Claimant Eileen P. Boland ("Claimant") appeared pro se. For Respondents First Montauk Securities Corp. and Richard Jacaruso ("Respondents") appeared Monica R. Harris, Esq., in-house counsel at F

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04132 Mukesh K. Thaker, claimant vs. Richard Dearcop, respondent. ATTORNEYS: Claimant appeared Pro Se For Respondent Donald E. Grossfield, Esq. Rochester, NY DATE FILED: September 16, 1996 CASE SUMMARY: Claimant alleged misrepresentation, omission, unsuitability and sales pressure regarding Tellabs, Inc.("TLAB") and Telco Technology, Inc.("TTXI") stock

04/08/96 MON 14:34 FAI NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Richard Labrecque and Clifford Smith, Claimants, and No. 96-04130 Josephthal Lyon & Ross Inc., Dan D. Purje*, Averetl N. Satioff, and Mitchell Aguirre, Respondents, REPRESENTATION OF PARTIES Claimants, Richard Labrecque ("Labtecque,") and Clifford Smith ("Smith,") were represented by Bonnie £. Spenc