AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Po-Chi Shaw v. Name of Respondent Suppes Securities, Inc. Arbitration No. 96-02565 REPRESENTATION For Claimant: For Respondent: John Wallace, Esq. Robert C. Rosen, Esq. Rosen & Associates Los Angeles, California no appearance CASE INFORMATION Statement of Claim filed: Claimant's Submission Ag

NASD REGULATION, INC. AWARD NASD REGULATION, Inc. In the Matter of the Arbitration Between Name of Claimant Donald R. Grubb 96-02561 Name of Respondents A jay Nanda David L. Goodrich REPRESENTATION Claimant Donald Grubb, ("Claimant"), appeared Pro Se. For Respondent Ajay Nanda, ("Nanda 1 '), appeared William W. Allen* Esq., of the firm Gess Mattingly & Atchison, P.S.C., located in Lexington, Kentucky. For Respondent David L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. In the matter of the Arbitration Between Name of Claimant: Marts Ozolins NASD Arbitration v. No.96-02553 Name of Respondents: Robert Wong REPRESENTATION For Claimant: Maris Ozolins, in pro per Laguna Niguel, California For Respondent: Julie D Reed, Esq. Olde Discount Corporation Detroit, Michigan CASE INFORMATION Statement of Claim filed: June 14, 1996 Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Jack Bobrow ir 01-02115 of the Merrill Lynch, Peirce, Fenner & Smith, Inc. Steven Bobrow Hearing Site- Washington, D.C. OF PARTIES Claimant, Jack Bobrow, hereinafter referred to as "Claimant", was represented by Steven Altman, Esq., Altman & Company, P.C., New York, New York. Respondents, Merrill Lynch, Peirce, Fenner & Smith, Inc. ("Merr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Name of Respondent Robert Wolford NASD Arbitration No.96-02549 REPRESENTATION For Claimants: For Respondent: Statement of Claim filed: Andrew Quigley, Esq. Merrill, Lynch, Pierce, Fenner & Smith New York, New York Duke F. Wahlquist, Esq. Rutan & T

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant The Schmitz Family Trust dated June 12,1986 Mona K. Schmitz Trustee v. Arbitration No. 96-02545 Name of Respondents Titan Value Equities Group, Inc., Bill Ring, Frank Lloyd King and Philip Bruce Anderson REPRESENTATION For Claimant: Nancy K. Undem, Esq. Attorney at Law Santa Barbara, California For Respondents: G. Thomas Fleming III, Esq.

N.A.S.D. AWARD 4 NATIONAL ASSOCIATION OF SECURITIES DEALERS I 1 »• In the Matter of the Arbitration Between Name of Claimants Michael T. and Nancy J. Benson 96-02542 Name of Respondents A.S. Goldmen & Company, Inc. Michael Mullen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 13, 1996, claimants Michael T. and Nancy J. Benson who held an account as joint tenants with the right

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kathy Parker and 96-02539 Name of Respondent Strategic Resource Management, Inc. William Moler Catherine Moler REPRESENTATION OF PARTIES Kathy Parker ("Claimant 11 ) was represented by James R. Florey, Jr., Esq., Englewood, Colorado. Strategic Resource Management, Inc. ("Respondent Strategic"), William Moler and Cath

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Thomas H. Stafford 96-02538 Name of Respondents Josephthal Lyon & Ross Inc. Matthew Jules REPRESENTATION For claimant Thomas H. Stafford ("claimant") appeared his counsel James D. Bryce, Esq. of the law firm Mackay, Daniel, King, Hudson & Bryce located in Decatur, Georgia. For respondents Josepht

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Daniel F. Rogers and 96-02532 Name of Respondent Wood Logan Associates, Inc. Ronald W. Schantz REPRESENTATION OF PARTIES Daniel F. Rogers ("Claimant") was represented by Dennis Paul Pelowski, Esq., Minneapolis, Minnesota. Wood Logan Associates, Inc. ("Respondent Wood Logan") and Ronald W. Schantz ("Respondent Schantz") w