NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant fa) G. Bernard Kallio Irene V. Kallio Arbitration No. 96-02718 Name of Respondent(s) Daniel M. Porush REPRESENTATION For Claimants: Thomas J. Flaherty, Esq., Hillsboro, Oregon For Respondent Daniel M. Porush: Mark E. Gelfand, Esq., Hicksville, New York CASE INFORMATION Statement of Claim filed: August 20, 1996 Amended Statement of Claim filed: Mar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Offerman & Company Incorporated Name of Respondent Ronald G. Salyer 96-02716 © National Association of Securities Dealers. !nc. ** ~ 19% AU Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on June 25, 1996, Claimant Offerman & Company Incorporated ("Claim

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) David Vargas Arbitration No. 96-02715 Name of Respondentfs) Wedbush Morgan Securities, Inc, Marie Eaton REPRESENTATION For Claimant: Edward T. Monks, Esq., Morrow, Monks & Sharp, .R^C;,- Eugene, Oregon ; " For Respondents: Charles F. Hudson, Esq., Lane Powell Spears Lubersky LLP, Portland, Oregon CASE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant George V. Daniels 96-02713 Name of Respondents Smith Barney, Inc, The Robinson-Humphrey Co., Inc. REPRESENTATION Claimant George V. Daniels ("Claimant") was represented by Andrew P. Campbell, Esq., Campbell & Waller, Birmingham, AL. Respondents The Robinson-Humphrey Co., Inc. ("RH"), a subsidiary

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Shirley Leshowitz Sylvia Heller 96-02709 Name of Respondents Greystone Associates Howard C. Zelin Maidstone Financial Inc. National Financial Services Corp. REPRESENTATION Claimants appeared pro se. For Respondent, National FinaJ^FServices Corp., appeared, Michael G. Shannon, Esq., from the law firm of Phillips, Lytle,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of (Tiaimant Michael E. Friedman Name of Respondents Lew Lieberbaum & Co., Inc. Elliot Gayer Indra Ramsahai 96-02708 REPRESENTATION For claimant Michael Friedman ("Claimant") appeared Jason Friedman a sole practioneer located in Brooklyn, New York. For respondents Lew Lieberbaum & Co. ("Lieberbaum"), Elliot Gayer ("Gayer"), and Ind

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Karen M. Burkhardt 95-01854 Name of Respondents Provident Securities & Investment Co. Susan Sando REPRESENTATION Claimant Karen M. Burkhardt ("Claimant") appeared pro se. For respondent Provident Securities & Investment Co.("Provident* 1 ) and Susan Sando ("Sando") (collectively referred to as "respondents") appeare

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jennifer C. Smith, Nicholas P. Smith, Brian E. Mudrick, and Mary A. Coduti, (Claimants) vs. Platinum Equities, Inc., John J. Kenny, and Pasquale Forti, (Respondents) Case Number: 00-05086 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Jennifer C. Smith ("J. Smith"), Nicholas P. Smith ("N. Smith"), Brian E. Mudrick ("Mudrick"), and Mary A. Coduti ("Coduti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Thomas F. Langston Name of Resnondent(s) NationsSecurities 95-01850 REPRESENTATION For Claimant Thomas F. Langston: Craig M. Frankei, Esq., of the law firm of Meadows Ichter and Trigg, Atlanta, GA. For Respondent NationsSecurities: Cory Hohnbaum, Esq., of the law firm of Kennedy,, fipyington, Lobdell and Hickman, LLP, Cha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph C. & Judy Roetheli 95-01848 of Respondents Ian R. Hosang Hugh Daniel Dunn A.S. Goldmen & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1995, Claimants Joseph C, & Judy Roetheli, who appeared Pro Se, alleged that Respondents Ian R. Hosang ("Hosang")