N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rosalie M. Nolen 96-00913 Name of Respondents Donaldson Lufkin & Jenrette Securities Titan/Value Equities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 29, 1996, claimant Rosalie M. Nolen ("claimant"), through her representative James D. Keeney, Esq. of the l

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant » = s =^====^ Prudential Securities, Inc. 96-00911 \ Name of Respondent Bruce Eaton REPRESENTATION Claimant Prudential Securities, Inc. ("Claimant") was represented by Christopher Freeze, Esq., Prudential Securities, Inc., New York, NY. Respondent Bruce Eaton ("Respondent") was represented by L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alberta Jeanne List 96-00905 Name of Respondents Ralph Sadler Powell Charles A. Creekmore CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on February 29, 1996, claimant Alberta Jeanne List ("claimant"), who appeared Pro Se, alleged that respondents Ralph S. Powell ("Powell") and Charle

a NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Mark Champoux NASD Regulation, Inc. v. Office of Dispute Resolution Arbitration No. 96-00903 Name of Respondents Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant: In Pro Per For Respondent: Daniel A. Osborn, Esq. Brown & Wood N

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Manuel Ybarguen Arbitration No. 96-00902 Name of Respondentfs) Sentra Securities Corporation Great Western Financial Securities Corporation REPRESENTATION For Claimant: Norman R. Allenby, Esq., Hillyer & Irwin, San Diego, California For Respondent Sentra Securities Corporation: Bradd L. Milove, Esq. and Cynthia M

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Liang-Ju Lu and 96-00901 Narne of Respondent Jospehthal Lyon & Ross, Inc. REPRESENTATION OF PARTIES Liang-Ju Lu ("Claimant") was represented by Daniel W. Schermer, Esq., Schermer & Schermer, Minneapolis, Minnesota. Jospehthal Lyon & Ross, Inc. ("Respondent") was represented by Brian J. Neville, Esq., Josephthal Lyon & Ross,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ghassem N. Chafizadeh, M.D. Profit Sharing Plan, (Claimant) vs. Thomas G. Croonquist, (Respondent) Case Number: 01-01156 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ghassem N. Chafizadeh, M.D. Profit Sharing Plan, hereinafter to as "Claimant": Ghassem N. Chafizadeh, M.D., Fort Lee, NJ. Respondent, Thomas G. Croonquist, hereinafter referred to as "R

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Paul H. Peck Jeannine V. Peck Claimant(s) NASD Regulation, Inc. v. No. 96-00898 Smith Barney Inc. Respondent REPRESENTATION OF PARTIES For Claimants: Paul H. Peck, Ellensburg, Washington For Respondent: Sean Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: February 28, 1996 Claiman

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William 11. Fuller Claimant NASD Arbitration No. 96-00751 Josephthal, Lyon & Ross. Inc., Bear Stearns Securities Corporation Respondents REPRESENTATION OF PARTIES William H. Fuller ("Claimant") was represented by Richard D. Turner, Esq., Eisenhower & Carlson, Tacoma. Washington. Josephthal. Lyon & Ross, Inc. and Bear Stearns Securities Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Marie C. Mimger, individually Frederick H. & Marie C. Munger Living Trust 11/16/95 96-00749 Name of Respondent s) Victor Verola Great American Financial Network REPRESENTATION For Claimants Marie C. Munger ("Munger") and The Frederick H. & Marie C. Munger Living Trust ("the Trust"): Tim B. Wright, Esq. of Warner, Fox