SEP-16.1998 1!29R1 NftSD REGULATION FL NO.593 P.16 NASD KtjBitoriqn, Inc. IntheMatotrfdu AibfcndocBorweai Divid G. $icele 96-03077 JW Chad* Steatite, bo. SccotW« f Inc., BoctlUttn, Ptorkt. , Boct Ctata B. Scitktt, £14. of JW Quttl« StttaDeaofOllmfilad: ^4y 15, 1996. Jnuiwy21, 1997, k < Subuduion Afnanent signed ecu YUM 21, 1996. 'i Sntnaat of Awwer md Couattnliim ffledr Mttcb 37, 1997. co Jtittondnff Coootwciibtt TDrd* St

-AUG. 4. 1993 NO. 710 p. 9 N.A.S.P. STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name oj Clflimanj. Frances E, Schweitzer 96-03074 Josephthal Lyon & Ross, Inc. D. Blech & Company, Inc. Brian Corday For Claimant: Frank A, Ligntmas, Jr., £sq, of the law firm of Lightmas & DeHc, Atlanta, Georgia. For Respondent Brian Corday ("Corday"): Jeffrey M. Smith, Esq. of

AWARD NASD Regulation, Inc. Dispute Resolution In the Matter of the Arbitration Between The Estate of Ronald H. Myhand, Claimant, vs. 96-03071 Joseph Charles & Associates, Inc., and Robert A. Pruzinsky, Respondents. REPRESENTATION OF PARTIES The Estate of Ronald H. Myhand ("Claimant") was represented by Richard G. Himelrick, Esq., of Byrnes & Himelrick, PLLC, Scottsdale, Arizona. Joseph Charles & Associates, Inc. ("JCA"), and Robert A, P

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ronald Oliva Sr., IRA 96-03069 Name of Respondents Shearson Lehman Brothers, Inc. Arthur Usherhoff REPRESENTATION For Claimant Ronald Oliva Sr., IRA ("Oliva"): Robert Wayne Pearce, Esq. of Lerner & Pearce, P.A., Fort Lauderdale, Florida. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Arthur Usherhof

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants John L. & Esther S. Bala 96-03064 Name of Respondent m^^^^^^^^^^^^^^^^^^^^^^^^* Smith Barney Inc. REPRESENTATION Claimants John L. & Esther S. Bala ("claimants") appeared pro se. For respondent Smith Barney Inc. ("respondent") appeared Linda R. Alpert, Esq., First Vice President and Associate General Counsel for respondent. CASE INFORMATION Statement of

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Synovus Securities, Inc. 96-03063 Namy of Respondent Johnny F.L. Barker, Jr. ^PRESENTATION For Claimant Synovous Securities, Inc. ("Claimant") appeared W.G Scrantom, Jr. of Page, Scrantom, Sprouse, Tucker & Ford located in Columbus, GA. Respondent Johnny F.L. Barker, Jr. ("Respondent") appeared pro se. CASE INFORMATION T

Feb-Q7-2003 Q9:48arn From-NASDA DISPUTE RESOLUTION T-185 P.DQ2/010 F-472 Aw ard NASD Dispnte Resolution In the Matter of the Arbitration Between: Georgia Braverman, Claimant v, Jerry StuSreaUCZar.i Union Bank of California Invebnr.^r.i Services, Inc. 3 Respondents Case Number: 00-05132 Hearing Site: Los Angeles, California REPRESENTATION OFPARTIES For Claimant: For Respondents: Edward W. Russey, III, Esq. Oswald & Yap Irv

SENT BY: 11-12-98 ; 8:21AM ;NASD ARBITRATION DPT^ 12122085165;* 2/24 AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Linda Braun v. NASD Regulation, Inc. Arbitration No. 96-03058 Name of Respondents H. J, Meyers & Co., Inc. flk/a/ Thomas Associates, Inc., Chatfield Dean & Co., Inc., Shelley Jones» Frederick Wiegand, Jr., and Jack Vink REPRESENTATION F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Anne N. Perry and 96-03057 Name of Respondent D,E. Frey & Co., Inc. David Ramsdale REPRESENTATION OF PARTIES Anne N. Perry ("Claimant") was represented by William D. Nelson, Esq., Slivka Robinson Waters & O'Dorisio, P,C., Denver, Colorado. , D.E. Frey & Co., Inc. ("Respondent D.E. Frey") was represented by Mark J. Appletojv

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation 96-03056 Name of Respondent Rachel Vance REPRESENTATION For Claimant Olde Discount Corporation ("Olde" or "claimant") appeared Robert S. Anderson, Esq. of the firm Olde Discount Corporation located in Detroit, Michigan. Respondent Vance did not enter an appearance in this ma