N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George E. Krant Don L. Krant 95-04367 Name of Respondents Wells Fargo Securities John D. McKinnon CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on September 13, 1995, Claimants George E. and Don L. Krant, who appeared Pro Se, alleged that Respondent Wells Fargo Securities Inc.,

AWARD NASD Regulation. Inc. . In the matter of the Arbitration Between Name of Claimant (s) Norbert Lechwar, Trustee for and on behalf of the Joseph F. Stoller Trust Arbitration No. 95-04364 Name of Respondent(s) Smith Barney Shearson Inc. Gordon P. Sinkoff REPRESENTATION For Claimant: Patricia J. Ulibarri, Esq. and Ronald V. LoLordo, Esq., San Diego, California For Respondents: John P. Bevilacqua, Esq., Smith Barney Inc., New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Michele Wolf 95-04355 Name of Respondent Gerardo A. Angulo Hassan Nemazee F.C. Financial Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September!;^ Claimant Michele Wolf, who appeared Pro Se, alleged that Respondent F.C. Financial Sefrices^fn&i ("FCFS"), and its representa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimants Herbert R. Spangler and Lura A. Spangler 95-04354 Name of Respondents Scott A. Pinkowitz RAS Securities Corp. CASE SUMMARY i" v ! In a claihi, filed with the National Association of Securities Dealers, Inc. on September Claimants Herbert RrSpangler and Lura A. Spangler ("Claimants"), alleged that they held:account#W51

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas Collier and Jean Buiwitt 95-04353 Name of Respondents Waterhouse Securities, Inc., Lisa Hachigian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12^1995^ Claimants Thomas'Collier and Jean Buiwitt ("Claimants"), who appeared Prb~.Se, an account witlil'^^MeMlykterh

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dale Snodgrass w/POA for Sylvia Gadbaw 95-04352 Name of Respondent Piper Jaffray, Inc. Doug B. Nichols CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, l995l'Oaimian£'i'5 ™*h Dale Snodgrass with a Power of Attorney for Sylvia Gadbaw ("Claimant"), who appeared Pro SeV aifegete

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gary Heuer and Elizabeth Heuer, (Claimants) vs. Jesup & Lamont Securities Corp., Robert Cochran, Howard Curd, and Richard McLoone, (Respondents) Case Number: 01-01965 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Gary Heuer ("G. Heuer") and Elizabeth Heuer ("E. Heuer"), hereinafter collectively referred to as "Claimants": Kim Juhase, Esq., Novak & Juhas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frank and Mildred Kregloski Name of Respondents Chemical Investor Services, Inc. Gary Stefanski CASE SUMMARY 95-04350 & National Association of Securities Dealers, Inc. All Rights Reserved In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1995, Claimants Frank and Mildred K

N.A.S D. AWARQ NAUONAI. ASSQCIATTON OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Charles Stevens Nanry* of Respondents Fred Maaskamp and Smith Barney. Inc. REPRESENTATION For Claimant: Douglas K. Schreiber, Esq. Anker & Hymes.,., .,,, .,. Encino, California Marion S. Chan, Esq. Smith Barney, Inc. New York, New York CASK INFORMATION Statement of Claim filed: Claimant's Submissio

( -/V NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Roger L. Belger Claimant, v. No. 9504347 Rauscher Pierce Refsnes, Inc. c-National Association O f Securities Dealers, Inc. Respondent. All Rights Reserved REPRESENTATION OF PARTIES Claimant Roger L. Belger represented himself. Respondent Rauscher Pierce Refsnes* Int.'.was represented by Sharon J. ShumwayyrEsql.'of I-