N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald L. Krstich 93-03194 Name of Respondents Charles Schwab & Company, Inc. CASESUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1993, Claimant Donald L. Krstich, who appeared Pro Se, alleged that he purchased 1300 shares of Galey & Lord ("GANL") stock on May 8, 1992 from Res

N.A.S.D. AWARD c ^ m NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sharon Biermann Name of Respondent Josephthal Lyon & Ross, Inc, 93-03 152 < t> National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION For claimant Sharon Biermann ("claimant") appeared James Nespole, Esq., from the law firm of Fulbright & Jaworski L.L.P., located in New York, New

N.A.S.D.AWARD ' NATIONAL ASSOCIATION OF SECURITIES DEALERS h the Matter of the Arbitration Between Name of ClaimantCsl Corporate Secuties Group 94-03799 Name of Respondent(s) T^aiban R. Glaser CASESUMMARY. h a claim filed with the National Association of Securities Dealers, Inc. on September 16,1994, Claimant Corporate Securities Group, through its in-house representative, Gregory Tendrich alleged that Respondent Wlliam R. Glaser on or about J

, Award NASD Regulation, Inc. In the Matter of the Arbitration Between: M. Robert Burton '& Associates, Inc. (Claimant) vs. Southwest Securities, Inc. and Brokers Transaction Services, Inc., (Respondents). Case Number: 98-00504 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, M. Robert Burton & Associates, Inc., hereinafter referred to as "Claimant": Charles J. Engel, Jr. , Esq., Engel & Engel, Syracuse, New York. Respondents, Sout

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Joan Friedman, ind/guardian of Dr. Fred Friedman vs. Name of Respondents Alexander Godelman Anthony Osadchy First Commercial Financial Group, Inc. International Futures Gelderman, Inc. Securities Settlement Corp. The Randall-George Corp. George Z. Skrabonja Case No. 93-03099 REPRESENTATION For Claimant Joan Friedman, ("Claiman

% N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SEriTRTTTES DEALERS, TNC In the matter of the Arbitration Between Name nf 01 aiinant (s) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Pa

1^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerald P. Gorman and Julia L. Gorman 93- 02920 Name of Respondents Firr* Albany Corporation John F. Carey REPRESENTATION BoT Cutiiuant: Donala McGrati), Esq. of Falk & Seliner, BufraJo, NY. For Respoiidcnl FiiSi Albany Corporation: Michael Brady• Esq. of Hagcrt> 6c Brady. Buffalo,Ni'. For Respondent johu F. Carey

1% N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Erlanger vs. Name of Respondent Daiwa America Securities, Inc. REPRESENTATION Award No. 93-02633 For Claimant, Michael Erlanger, ("Claimant"), Jeffrey L. Liddle, Esq., from the firm of Liddle, Robinson & Shoemaker. For Respondent, Daiwa America Securities, Inc., ("Respondent"), Ronald M. Green, Esq., from t

FILE No.667 01/04 '00 10:19 ID:TATE LAZARINI S BEALL FAX:901 529 9910 PAGE 2/ 11 L N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIUTIES DEALERS In Ihe Miiller of (he Aibiiralion Beiwceu Nu^nc uC Clainuini Murgiin Kccgaii Sc Company Inc 93-02590 Nim]cs of kcspnii^Icnl?; A. Micliole We.5li)iorclajjd Luri L. Dodge Calibre Fiiumcial Gruiij), Inc. Philip F. DoMuviin Tliunuis R. Luiisrurd Cyulliia K. Dcinpsey David Acree Schmidt Jam

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between RONALD E. MORRISON, Claimant, V. MERRILL LYNCH PIERCE FENNER & SMITH, INC., PETER SANSEVERO. and DOES One through One Hundred, inclusive. NASD No. 93-3935 . •-.i> Respondents. Representation For Claimant: Philip Borowsky, Esq. of Cartwright, Slobodm, Bokelman, Borowsky, Wartnick, Moore & Harris, Inc., San Francisco, Califomia For Respo