N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William G. Herlihy, as trustee for the Pathology Biomedical Laboratories Profit Sharing Plan 96-02864 Name of Respondents Smith Barney Inc. Roger Diebel CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 5, 1996 claimant William G. Herlihy, as Trustee for the Pathology

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David C. and Annie Kennicutt 96-02863 Name of Respondents Fidelity Brokerage Services, Inc. d/b/a Fidelity Investments CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 5, 1996, claimants David C. and Annie Kennicutt ("claimants"), who appeared Pro Se, alleged that respondent F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William G. Herlihy 96-02862 Name of Respondents Smith Barney, Inc. Roger Diebel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 5, 1996, Claimant William G. Herlihy ("Claimant"), who appeared Pro Se, alleged that on November 15, 1994, he contacted Respondent Roger Diebel ("Die

Award NASD Dispute Resolution, Inc. nrp n L OQQI FL ARBITRATION In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. Case No. 00-05097 Name of Respondent William F, Hill, Jr, Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Claimant Wachovia Securities, Inc. ("Wachovia"), hereinafter referred to as "Claimant 11 : Pamela P. Wamcment, Senior Vice President and Deputy General Counsel, Wacho

- t ' N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the~Matter of the Arbitration Between Name of Claimant Harold Weldon 96-02861 Name of Respondents Prudential Securities Inc Smith Barney Shearson, Inc. Commonwealth Associates, Inc. • : Gilford S^j^ies Inc. ; -^ v Jeffrey George Nunez ,, ;; For claimant Harold Weldon ("claimant") appeared his representative John B. Lyle, Esq. , a so

In the Matter of the Arbitration Between Name of Claimant Zakria A. Khan Name of Respondent Quick and Reiliy, Inc. 96-02860 REPRESENTATION For claimant Zakria A. Khan ("claimant") appeared David H. Zimmer, Esq., a sole practitioner located in Potomac, Maryland. For respondent Quick and Reilly, Inc. ("respondent") appeared Bennett Falk, Esq., from the law firm of Morgan, Lewis & Bockius LLP located in Miami, Florida. CASE INFORMATION Stat

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Jitsuo & Jane Yamamoto v. Arbitration No. 96-02856 Name of Respondents La Croix Alexander Financial Corporation and GPS Consulting Corporation REPRESENTATION For Claimant: Peter Epstein Rancho Palos Verdes, California For Respondent: Dan R. Waller, Esq. Secore & Waller, LLP Dallas, Texas CASE INFORMATION St

AWARD ' NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent First Option of Chicago, Inc. Name of Respondents/Counter-Claimants Arauca Trading Limited Partnership; Arauca General, Inc.; Stephen G. Macklem; Henry Gosiene; Brent Harrison; New Allegheny, Inc.; and Hasco, Inc. 96-02855 Name of Cross-Claimants and Third Party Claimants Arauca Trading Limited Partnership; Arauca General, Inc.;

RA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David W. Reber 96-02853 Name of Respondent Nationwide Securities Coip. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 3, 1996, claimant David W. Reber ("claimant"), who appeared Pro Se, alleged that respondent Nationwide Securities, Inc. ("respondent") sold him securities to his d

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Michael Delaney 96-02845 Name of Respondent Rodman & Renshaw, Inc. REPRESENTATION For Claimant: Michael Delaney ("Delaney") was represented by Gregory A. Friedman, Esq, of Friedman & Holtz, P.C., located in Chicago, Illinois. For Respondent: Rodman & Renshaw, Inc. ("Rodman") was represented by Michael J. Gaertner, Esq. of L