AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between C. Curtis Carter, and Jo An B. Carter, Claimants, v. No. 96-00946 Prudential Securities, Inc., and Roger D. Wood, Respondents. REPRESENTATION OF PARTIES C. Curtis Carter appeared on behalf of Claimants C. Curtis Carter and Jo An B. Carter ("Claimants"). Respondents Prudential Securities, Inc. ("PSI") and Roger D. Wood ("Wood") (hereafter joi

AWARD NASD Regulation, Inc. Office of Dispute Resolution - In the Matter of the Arbitration Between Burnell Moliere, Stratton Oakmont, Inc., Claimant, and Respondent. Mo. 96-00945 REPRESENTATION OF PARTIES Claimant Burnell Moliere ("Claimant") was represented at the hearing by Randall Moore. Respondent Stratton Oakmont, Inc. ("Respondent") failed to appear at the hearing. Respondent was previously represented by Gregg R. Evangelist, Esqu

NASD Arbitration No. 96-00940 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) James Michael Mosher Name of Respondent(s) Daehan Securities, Inc. and Indong Oh REPRESENTATION For Claimant: James Michael Mosher, in pro per Newport Beach, California For Respondents Daehan Securities, Inc. and Indong Oh: Indong Oh, in pro per Daehan Securities, Inc. Los A

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Sheldon B. Liebovich 96-00938 Name of Respondents GKN Securities Corp.; Dean L. Julia REPRESENTATION For Claimant: Sheldon B. Liebovich ("Liebovich") was represented by Steven M. Lirtzman, Esq. of Rockford, Illinois. For Respondent: GKN Securities Corporation ("GKN") was represented by Katherine Nathan, Esq. of GKN Secu

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Elmer E. Smith, and Marita E. Smith, Claimants, v. No. 96-00934 Scott A. Lehner, and Dickenson & Co., Respondents, REPRESENTATION OF PARTIES Claimants Elmer E. Smith, and Marita E. Smith were represented by Kurt A. Harper, Esq., of Sherwood & Harper, Wichita, Kansas. Respondents Scott A. Lehner ("Lehner"), and Dickenson & Co. ("Dickenson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Albert Pollari, Albert Pollari Trust and Pollari-Wright, Inc., Claimants v. TD Waterhouse Investor Services, Inc., Albert F. Di Pippo and Chris Koulouris, Respondents Case Number: 01-01158 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Victor G. Greene, Esq. Maynard Law Offices, PC Campbell, California For Respondents: Cara L. Finan, E

. t A-' AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Brian Randolph v. Arbitration No. 96-00933 Name of Respondents Nicholas "Nick" Ellis Jon Joseph Hanousek and Corporate Benefit Securities REPRESENTATION For Claimant: For Respondents: CASE INFORMATION Statement of Claim filed: Claimant Brian Randolph's Submission Agreement signed:

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Allan H. Galbreath, M.D., individually and on behalf of Allan H. Galbreath, M.D. Inc., a California corporation; Dorothy J. Ertl; and Sue C. Moore Arbitration No. 96-00927 Name of Respondentfs) Sutro & Co., Inc. and Russell Godt REPRESENTATION For Claimants: Louis J. Anapolsky, Esq., Knox, Lemmon, Anapols

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irene and Julio Garriga and Judith Alexander NASD CASE NO. 96-00922 Name of Respondents Greenway Capital Corp. and Michael J. DeMaio REPRESENTATION For Claimants: Raymond V. Miller, Esq. of Kaufman, Miller, Dickstein & Gnmspan, P.A., Miami, Florida. For Respondent Greenway Capital Corp. ("Greenway"): Ruthann G. Niosi,

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Ezra Bayda Diane Bayda Claimant(s) NASD Regulation, Inc. v. No. 96-00919 Alan Berman First Affiliated Securities, Inc. Respondent(s) REPRESENTATION OF PARTIES Ezra Bayda, Diane Bayda were represented by Ezra Bayda, Santa Rosa, California Alan Berman was represented by Alan Berman, Santa Rosa, California First Affiliated Securities,