Award NASD Regulation, Inc. In the Matter or the Arbitration Between Wall Street Access (Claimant) v. Liberty Securities Corporation (Respondent) Case Number: 97-05202 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wall Street Access ("Claimant"): Joseph Mendola, Esq., New York, New York. Respondent, Liberty Securities Corporation ("Respondent"): Michael Consentino, Esq., Seegel Robinson & Lipschutz, P.C., Wellesley, Massachusetts.

AWARD NASP Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William Gerga and 97-05195 Name of Respondents The Prudential Insurance Company of America Harry Axford Ruben Giess and Steven Kattke REPRESENTATION OF PARTIES William Gerga ("Claimant") was represented by Stephen W. Cooper, Esq., Cooper Law Firm, Minneapolis, Minnesota. The Prudential Insurance Company of America ("Respondent Prudential") was r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terrence A. Ward and Shirley Ann Ward, (Claimants) vs. Jeffrey Scott Warren, Roger Kapsalis, Royal Hutton Securities Corp., Merit Capital Associates, Inc., and Tradeway Securities Group, Inc., (Respondents) Case Number: 00-02336 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Terrence A. Ward ("T. Ward") and Shirley Ann Ward ("S. Ward"), hereinafter c

JUL.20.1998 8:l5flf| NflSD REGULATION FL ' NO.662 P.6 • , N.A.S.D. AWARD NASD Regulation, Inc., Office of Dispute Resolution .. i In the Matter of the Arbitration Between ' Names of Claimants ' l William Barry & Terri T. Sunderland ' I NASD Case No. 97-05194 i Names of Respondents . i First United Equities Corporation i Jeff E, Rosenbhun lames Bila j Jonathan Winston Robert N. Drake , . Steven Cohen Jason

NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Michael A. Arashiro Arbitration No. 97-05193 Name of Respondent(s) Meyers Pollock: Robbins, Inc. REPRESENTATION For Claimant: Michael A. Arashiro, Honolulu, Hawaii For Respondent Meyers Pollock Robbins, Inc.: Michael Ploshnick, Meyers Pollock Robbins, Inc., New York, New York CASE INFORMATION Statement of Claim filed: October 29, 1997 Claimant's Su

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05192 Alice F. ShaW; claimant vs. Wayne S. Ross, respondent. ATTORNEYS: Claimant appeared Pro Se, Hanford, CA. For Respondent Appeared, Ann Parry, Esq., Smith Barney, Inc., New York, NY, DATE FILED: October 31, 1997 CASE SUMMARY: Claimant alleged unsuitability and churning regarding respondent's recommendations to purchase Advanced Micro Devices and to sel

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. i i CASE: 97-05190 Gregory Swenson, claimant vs. Royal Hutton Securities, Corp., respondent. ATTORNEYS: Claimant appeared Pro Se. - Staten Island, NY. Respondent appeared Pro Se. - Boca Raton, FL. DATE FILED: 10/31/97 CASE SUMMARY: Claimant alleged refusal to execute sell order of common stock. Claim Data Award Data Claim: $8,500.00 Award: $8,437.50 Pun

OCT.25.1998 4=57PM NflSD REGLJLRTION FL NO.651 P.11 NASD REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Marrer of the Arbitration Between Names of Claimants Dennis Ray Newton & Anita Newton 97-05186 Names of Respondents pasquale John Donofrio, Sr. William Joseph Rotholz Victor Ming Wang JeffSondak Gregg Adam Thaler Duke & Co., Inc. Wang Holdings, Inc. REPRESENTATION For Claimants: Thomas

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Hollis Ellis and 97-05185 Name of Respondents Smith Barney, Inc, HLI Lyons, Inc., Jeffrey English, and Paul Feilzer REPRESENTATION OF PARTIES Hollis'Ellis ("Claimant") was represented by ''Dennis R. Villavicencio, Esq. of Allen; and' Villavicencio,LLP, Carlsbad, California. :, , r Smith Barney, Inc. ("SSI") was represented by Victor Machcinski,

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant CFS Brokerage Corp. and 97-05182 Name of Respondent Laura Godoy Charles Callanan REPRESENTATION OF PARTIES CFS Brokerage Corp. ("Claimant") was represented by Terrence J. Fleming, Esq. and Kim Ruckdaschel-Haley, Esq., Lindquist & Vennum, P.L.L.P., Minneapolis, Minnesota. Laura Godoy ("Respondent Godoy") did not appear at the hearing. Charles Callanan ("