AWARD HASP REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Lee La Rosa Arbitration No. 96-03951 Name of Respondentfs) La Jolla Securities, Inc. James Mahoney REPRESENTATION For Claimant: Jeffrey L. Gaffney, Esq., San Diego, California For Respondent La Jolla Securities, Inc.: Richard R. Leuthold, Esq., San Diego, California For Respondent James Mahoney: James Mahoney, De

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kirk Yorgey 96-03946 Name o£_Respondents Investors Associates, Inc Roberto Loza CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 4, 1996 claimant Kirk Yorgey ("claimant"), who appeared Pro Se, alleged that respondents Investors Associates, Inc. ("IAJ") and Robert

AWARD NASP REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantf s) John R. Zavoli Diane J.Zavoli v. Arbitration No. 96-03944 Name of Respondents) Charles Schwab & Co., Inc. For Claimants: Steven O. Sidener, Esq., Sidener & Associates, San Francisco, California For Respondent: Joseph ..•£.. Floien, Esq vv Steef«?l Levitt^ CASE Statement of Claim filed August 30, 1996 Ame

* * AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between David Servais, Claimant, v. No. 96-03940 Sovereign Equity Management Corporation and Jeffrey Lefkowitz, Respondents. REPRESENTATION OF PARTIES Claimant David Servais ("Claimant") was represented by R, Timothy Muth, Esq. and Anne Willis Reed, Esq. of Reinhart, Boerner, Van Deuren, Norris & Rieselbach, s.c. located in Milwaukee, Wi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-03937 Renee L. Montgomery, claimant v. Smith Barney Inc., Victoria Wizzel, Joseph Polanski, Steven G. Kushner and Donald Shagrin, respondents. ATTORNEYS: For Claimant George Montgomery, Esq. - Henderson, Nevada For Respondents John Bevilacqua, in-house-counsel for Smith Barney, Inc. - New York, New York. DATE FILED: September 4, 1996 CASE SUMMARY

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Carolyn & Fred Rankin 96-03934 Names of Respondents A.S. Goldmen & Company, Inc. Sheldon Wilson Floyd Wilmoth REPRESENTATION For Claimants: Dan A. Druz, Esq. of Manasquan, New Jersey. Fred Rankin did not appear at the evidentiary hearing. For Respondent A.S. Goldmen & Company, Inc. ("Goldmen"): Lewis Goldberg, Esq. of

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Edwin Brit Wyckoff 96-03931 Name of Respondents Adam Kaplan State Capital Markets Corp. REPRESENTATION Claimant Edwin Brit Wyckoff ("claimant") appeared pro se. Respondent Adam Kaplan ("Kaplan") appeared pro se. Respondent State Capital Markets Corp. ("State Capital") did not appear at the hearings. CASE INFORMATION Statement of Claim was filed on: Septem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Fidelity Brokerage Services, Inc., Claimant v. Francis Eustis and Sean Michael Jones, Respondents Case Number: 00-05178 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Laurence K. Richmond, Esq. Laurence K. Richmond & Associates, P.C. 1419 Hancock Street Greenleaf Building Quincy, MA 02169 For Respondents: Jeffrey A. Feldman. Esq.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ahmed F. Khadr 96-03930 Name of Respondents D.H. Blair & Company Jeffrey Woodrow Berns CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on September 4, 1996 Claimant Ahmed Fouad Khadr ("Claimant"), who appeared Pro Se, alleged that Respondent Jeff

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James N. and Barbara B. Galbraith 96-03929 96-04015 96-04016 Name of Respondent 96-04017 Nationwide Securities Corporation CASE SUMMARY In cases filed with the National Association of Securities Dealers Regulation, [nc. on September 4 and 9, 1996, claimants James and Barbara Galbraith ("claimants") who appeared