Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Mizrahi and Sophie Mizrahi (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Vincent Yackery (Respondents) Case Number: 03-03929 Hearing Site: New York, New York Nature of the Dispute; Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jack Mizrahi ("J. Mizrahi") and Sophie Mizrahi ("S. Mizrahi") hereinafter collectively referred to

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gregory R. Anderson and 97-00176 Name of Respondent R. J. Steichen & Co. REPRESENTATION OF PARTIES Gregory R. Anderson ("Claimant") was represented by Alain M. Baudry, Esq. and Richard G. Wilson, Esq., Maslon Edetrnan Barman & Brand, Minneapolis, Minnesota. R. J. Steichen & Co. ("Respondent") was represented by Vincent D. Louwag

AWARD In the Matter of Arbitration Between Lamar County Water Supply District Profit Sharing Plan and Trust, Claimant, and No. 97-00174 Addison Securities, Inc., and Charles Schwab & Company, Inc. Respondents. REPRESENTATION OF PARTIES Claimant, Lamar County Water Supply District Profit Sharing Plan And Trust (hereinafter, "Claimant") was represented by Corbet F. Bryant, Jr., Esquire of Carrington Coleman Sioman & Blumenthal, located in

N,A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00169 Alexander Koroluk, claimant v. J.B. Oxford & Company, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Herkimer, NY. For Respondents appeared Scott G. Monson, Esq. - Beverly Hills, CA DATE FILED: 1/13/97 CASE SUMMARY: Claimant alleged unauthorized purchase of Comparator Sys. Inc, and negligence in the management of his account.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John and Patricia Reilly as Trustees for the John and Patricia Reilly Family Trust, Claimants v. WM Financial Services, Inc., Edward Schrufer and Washington Mutual, Inc., Respondents Case Number: 01-01430 Hearing Site: San Francisco, California REPRESENTATIONOF PARTIES For Claimants: Mark L. Strombotne, Esq. Strombotne Law Firm San Jose, California For Respondents: Sam

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Maureen and Paul Belanger 97-00167 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. REPRESENTATION Claimants Maureen and Paul Belanger ("Claimants") appeared pro se. For Respondent Merrill Lynch, Pierce, Fenner &. Smith, Inc. ("Respondent") appeared Howard C. Sawransky, Esq., Assistant Vice President of Merrill Lynch, Pierce, Fenner & Smith, Inc.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ingram Liljestrand, and Rebecca Liljestrand, Claimants, v. No. 97-00165 Investors Associates, Inc., Matthew Proman, Randy Narod, David Reynolds, and Meyers Pollock Robbins, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Ingram Liljestrand and Rebecca Liljestrand (collectively referred to as "Claimants") were represented by Jerry

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OK SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dennis Marc Klinman 97-00156 Name of Respondents First United Equities Corporation REPRESENTATION Claimant Dennis Marc Klinman ("Claimant") was represented by David Zimmer, Esq., Greenwich, CT. Respondent First United Equities ("Respondent") did not appear. CASE INFORMATION Claimant's Statement o

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Gregory T. Christian v. Arbitration ^ 97-001 Name of Respondent Kennedy, Cabot & Co. REPRESENTATION For Claimant: For Respondent: Gregory T. Christian, In Pro Per Breckenridge, Colorado George H. Kupper, Esq. Kennedy, Cabot & Co. Beverly Hills, California Statement of Claim Hied: Claimant's Submi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Thomas A. and Kathleen Vyrostek vs. 97-00147 Name of Respondents Daniel Porush Scott Forman REPRESENTATION Claimants Thomas A. and Kathleen Vyrostek ("Claimants") were represented by Kristen W. Ulbrich, Esq., Adler, Pollock & Sheehan, Inc., Providence, Rhode Island. Respondent Daniel Porush ("Porush") was represented by Mark E. Gelfand, Esq., Hicksvill