N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECURITIES DEALERS In the Matter of the Arbitration Between Henry and Susan Van Oudenhoven 94-02611 Toluca PaciHc Securities Corp. Teny Kenneth Vickeiy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 7, 1994, Claimants Henry and Susan Van Oudenhoven, who appeared Pro Se. alleged that Respondent Teny Kenneth Vickery ("Vickery"), an employee of Respondem Tol

N.AS.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name-of Claimant Li-Hui Zhang 94-02609 ^am&:D£Kssfi&nsl£ms Citibank Investment Services John Li CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 7, 1994, Claimant Li-Hui Zhang, who appeared Pro Se, alleged that in late 1993, Respondents Citibank Investment Services ("Citibank") and John Li ("Li")

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thelma V. Nelson and Robert F. Nelson and 94-02604 Lars B. Bredal, William H. Gerhauser and Rothschild Global Investments, Inc. REPRESENTATION OF PARTIES Claimants, Thelma V. Nelson and Robert F. Nelson were represented by Martin A. Bloom, Esq. of Bloom, Murr & Accomazso, P.C. located in Denver, Colorado. Respondents, Lars V. Bredal, William

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Aibitration Between ^y Newton and 94-02602 AG. Edwards & Sons. Inc.. Walter K Cash and Steven Osbom REPRESENTATinN OF PARTIES Claimant, Ray Newton was represented by Drake Mann, Esq., Sole Practitioner, located in Little Rock, AR. Respondents. A.G. Edwards & Sons, Inc., Walter K. Cash and Steven Osbom were represented by M. Jane Matoesian, Esq. of AG. Edwards &

N.A.S.D. AWARD NATIONAL ASSOCIAllON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Madalyn, Heidi, Pamela C. and Eugene Wejman Award No. vs. 94-02597 NameofResnondents Smith Barney Shearson, Inc. Kadileen Hegcnbart For Claimants. Madalyn Wejman. Heidi Wejman, Pamela C Wejman and Eugene Wejman ("Claimants"), Daryl J. Hudson. Ill, Esq., located in Washington, D.C. For Respondents, Smith Barney Shearson, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Artntration Between Name of Claimant Eric D. Offner 94-02593 Name of Respondent Emanuel and Company REPRESENTATION For Claimant, John O'Boyle of the firm Henrie ft O'Boyle, Wantagh, NY For Respondem. Eric Emanuel of Emanuek and Company, New York, NY CASE INFORMATION Statement of Claun filed: August 18, 1994 Claimam's Submission Agreement signed on: June 17, 19

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lester and Faith Lieberman, Lester Lieberman, and Lester Lieberman IRA (Claimants) v. SG Cowen Securities Corporation, Lehman Brothers, Inc., and Robert Walterman (Respondents) Case Number: 01-05723 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Lester and Faith Lieberman ("L. and F.

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joel T. Biarmen, Tmstee 94-02576 NameofResDondent Dean Witter Reynolds, Inc. REPRESENTATION For Claunant, Joel T. Brannen ("Brannen"): Thomas C. Little, Esq. of Thomas C. Utde, P. A., Clearwater, Florida. For Respondent, Dean Witter Reynolds, Inc. ("Dean Witter"): Fiederick S. Schrils, Esq., of Holland & Knight, Tampa, Flori

N.A.S.D. AWARD NATIONAL ASSOriATlON OF SECURITIES DEALERS Stifel, Nicolaus & Company, Incorporated Claimant/Counterrespondent, V. No. 94-02574 John E. Reitz. Respondent/Counterclaimant. REPRESENTATION OF PARTIES Claimant/Coimterrespondent Stifel, Nicolaus & Company, Incorporated ("Clumant") was represented by Rochelle S. Hall. Esq., St. Louis, Missouri. Respondent/Counterclaimant John E. Reitz ("Respondent") was represented by John R. Heam, Esq.

NATIONA!. ASSOCIATION OF StCUVJ'JlES IWALERS AWARD in the Matter of the Arbitration Between McRap Limited Partnership and Chester Possehl Claimants. V. Piper. Jaffrey & Hopwood and Robert Smith NASD No. 94-2573 Respondents. Representation For Claimant: William Urga, Fsq., of JoUey, Urga, Wirth & Woodbury, Las Vegas. Nevada For Respondent: Mark Reed, Esq. of Piper, Jaffrey, Inc. (PJI). Minneapolis, Minnesota Case information S