N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jennifer K. Ennis 96-01514 Name of Respondents Janney Montgomery Scott, Inc. Timothy Ennis REPRESENTATION Claimant Jennifer K. Ennis ("Claimant") was represented by Debra G. Speyer, Esq. and Morgan Bentley, Esq., Philadelphia, PA. Respondents Janney Montgomery Scott, Inc. ("IMS") and Timothy Ennis ("Ennis")

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gary L. Triplett 96-01511 Name of Respondents Smith Barney, Inc. Richard Conway Richard J. Beatty REPRESENTATION Claimant Gary L. Triplett ("Claimant") appeared pro se. Respondents Smith Barney, Inc. ("SB"), Richard Conway ("Conway"), Richard J. Beatty ("Beatty") were represented by Marion S.

NASD REGULATION, INC AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants 1. Scott and Ellen K. Grosser 96-01510 Name of Respondents Janney Montgomery Scott, Tnc. Anthony W. Allen Eugene E. Peroni, Jr. REPRESENTATION For Claimants I. Scott and Ellen K. Grosser appeared, Anthony P. Picadio, Esq., from the law firm of Picadio, McCall, Kane & Norton located in Pittsburgh, Pennsylvania. For Respondents,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: A.G. Edwards & Sons, Inc., (Claimant) vs. Terence M. Wall, (Respondent) Case Number: 01-02033 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Jane Matoesian, Esq., Vice President & Counsel, A.G. Edwards & Sons, Inc., St. Louis, MO. Respondent, Terence M. Wall, hereinafter referred to as "Res

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Jim and Leena Uranwala v. Arbitration No. 96-01505 Name of Respondents Stratton Oakmont, Inc. Bryan E. Mills Gregory R. Hunt REPRESENTATION OF PARTIES Jim and Leena Uranwala ("Claimant") were represented by Jim Uranwala, pro se. Gregory R. Hunt ("Respondent") represented himself pro se. CASE INFORMATION Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virginia A. Rowland both as Trustee for the Virginia A. Rowland Trust and individually 96-01504 Name of Respondents Comprehensive Capital Corp. Thomas Barrett Mark Murray CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1996, claimant Virginia A, Rowland .both as Truste

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant • : ~ Olive Toy-Lain Wong 96-01497 Name of Respondents Citicorp Investment Services Joon Ho Chun CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1996, Claimant Olive Toy-Lain Wong ("Claimant"), who appeared Pro Se, alleged that Respondent Citicorp Investment Servic

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Neil E&trin 96-01496 Name of Respondent Peter Sullivan REPRESENTATION Claimant Stephen Neil Estrin ("claimant") appeared pro se. s For Respondent Peter Sullivan ("respondent") appeared Patrick J. Howley, Esq., Associate General Counsel for I\icker Anthony, Incorporated. - CASE INFORMATION St

AW\RD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) The Lincoln National Life Insurance Company Lincoln Cascades, Inc. Paul S. Lewis Daniel E. Fenker Moira Cordova v. Arbitration No. 96-01493 Name of Respondents) Elizabeth Dann Northwest Fringe Benefits, Inc. REPRESENTATION For Claimants: Christopher B. Wells, Esq. Lane Powell Spears Lubersky Seattle, W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cassandra P. Wells TTEE 96-01487 Name of Respondent Thomas H. Seabron CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1996, claimant Cassandra P. Wells as Trustee for the Cassandra P. Wells Remainder Unitrust ("claimant"), who appeared Pro Se, alleged that respondent Thomas H.