N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS Q^ Claimant Norman H. Greengard 94-01075 Protective Group Securities, Inc. and Marty Dehen REPRESENTATION OP PARTIES Claimant, Norman Greengard ("Greengard*} was represented at the hearing by Vernon J. Vander Weide, Esq. of Head Seifert & Vander Weide, Minneapolis, Minnesota. Respondents, Protective Group Securities, Inc. ("PGS") and Marty Dehen ("Dehen") were represented at the h

N.A.S.D. AWARD RATIONAL ASSOCIATION OP SECURITIES DEALERS Timothy H. Burton 94-01073 f Resondents Duke & Co., Inc. and Gary Richard Harder REPRESENTATION OF PARTIES Claimant, Timothy Burton was represented at the hearing by Mark Briol, Esq. and Greg Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondent , Duke & Co . , Inc . was represented at the hearing by Charles M. O'Rourke, Esq., Hempstead, New York. Respondent, Gary Ric

STIPULATED AWARD of NATIONAL ASSOCIATION OF SECURITIES DEALERS _ ' APR 03 1995 In the Matter of the Arbitration Between AvxB Name of Claimant Hamilton Investments, Inc. 94-01072 of Resondents David S. Grosky and Jody G. Grosky Representation of Parties Claimant Hamilton Investments, Inc. ("Claimant") was represented by Michael B. Elman, Esq. of Hamilton Investments, Inc., Chicago, Illinois. Respondents David S. Gr

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Phyliss Moss Claimant NASD Regulation, Inc. v. No. 94-01062 Joel Dean Moore Kenneth Robert Winton California One Investments Raymond Dillon Richard Crawford Schaub Respondents REPRESENTATION OF PARTIES Phyliss Moss ("Claimant") was represented by Michael R. McCabe, Esq., Reese Smalley Wiseman & Schweitzer, Redding, California.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Sheng Zhou 94-01053 Name of Respondents') Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD, Inc.") on March 18, 1994, Claimant Sheng Zhou, who appeared pro se, alleged that Respondent Charles Schwab & Company, Inc. failed to follow his instructions

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Shuh-Yueh Simon Hsu 94-01050 Name of Respondent^ Smith Barney Shearson, Inc. n/k/a Smith Barney Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1994, Claimant Shuh-Yueh Simon Hsu ("Hsu"), who appeared Pro Se, alleged that Respondent Smith Barney Shearson, Inc., n/

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * A. DeWayne Wee and Theo R. Wee 94-01041 Name of Respondents Equity Securities Trading Co., Inc. and Michael L. O'Brien Representation of Parties Claimants DeWayne Wee and Theo Wee ("Claimants") were represented at the bearing by Mark J. Briol, Esq. and Gregory L. Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondents, Equity

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Marjorie H. Turner, Individually and as Trustee for the Marjorie H. Turner trust dtd 3/12/82 Claimant NASD Arbitration No. 94-01035 v. Crowell Weedon & Co. Allan MacDougall Respondents REPRESENTATION For Claimant: Michael Huberman, Esq., of counsel to Greenbaum and Ferentz, Newport Beach, California For Respondents: John A. Blue, Esq., and K

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Ross R. Clark and Sandra E. Clark, Claimants Vs. Case Number: 01-02989 Fifth Third Securities, Inc., Respondent. Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES William H. Blessing, Esquire, of Cincinnati, Ohio, represented Claimants Ross R. Clark and Sandra E. Clark ("Claimants"). Joseph M. Callow, Esquire, of Keating Muething & Klekamo, P.L.L., Cinci

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert E. and Marilyn B. Riecks 94-01028 Name of Respondents Alex, Brown & Sons, Incorporated Roy Gardner Warren Laffer, Warren and Co., Inc. REPRESENTATION For Claimants, Robert E. and Marilyn B. Riecks ("Riecks"): H. Douglas Powell, Esq., Plantation, Florida. For Respondent, Alex, Brown & Sons, Incorporated ("Alex Br