NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Steve Diamond, Claimants, v. NASD No. 93-4974 Comprehensive Capital Corporation, Daniel Losito and Scott Kann, Respondents. Representation For Claimant: John Farina, Esq. of Boyes & Farina, West Palm Beach, Florida For Respondent Comprehensive Capital: Harold Geringer, Esq. of Geringer & Dolan, New York, New York For Respondent Daniel Losito: Pr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael K. Sheeley 93-04971 Name of Respondent G.N.A. Securities Co., Inc. REPRESENTATION For Claimant Michael K. Sheeley ("Claimant") appeared Hay ward Richard Pressman, Esq., sole practitioner located in New York, New York. For Respondent G.N.A. Securities Co., Inc. ("Respondent") appeared T. Dennis George, Esq., of the l

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. I?JC . In the matter of the Arbitration Between of Claimat (s) Sarah Howe11 Lewis NASD Arbitration No. 93-04968 Name of Respondent(s) Liberty Capital Markets, Inc. Doyle Holmes REPRESENTATION For Claimant: Leslie A. Blau, Esq. and Robert C. Rubenstein, Esq., Blau & Kokoszka, Chicago, Illinois For Respondents: David M. Grey, Esq., Turner, Cooper and Reynolds, Irvine, Calif

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hui Sun 93-04962 Name of Respondent ETrade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1993, Claimant Hui Sun, who appeared Pro Se, alleged that Respondent ETrade Securities, Inc. overcharged him on an order to purchase 3,000 snares of EKC stock, which

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carl A. & Angelina J. Gangale Case vs. #93-04961 Name of Respondents Phillip Rini The Ohio Company REPRESENTATION Claimants, Carl and Angelina Gangale ("Claimants") appeared pro-se. For Respondent, The Ohio Company ("Ohio"), James Francis from the Ohio Company, located in Columbus, Ohio. For Respondent, Phillip Rin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herta Eisenstadter 93-04953 Name of Respondents Dean Witter Reynolds, Inc. Samuel Brandwein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29,1993, Claimant Herta Eisenstadter, who appeared Pro Se, alleged that Respondent Samuel Brandwein ("Brandwein"), a broker at Respo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Gerald and Kathleen Holland and Case # 93-04947 Name of Respondents Pam McGinley Carleton Cleveland and Smith Barney Shearson, Inc. REPRESENTATION OF PARTIES Claimants, Gerald and Kathleen Holland, appeared pro se. For Respondents, Smith Barney Shearson, Inc., Pam McGinley and Carleton Cleveland, Alejandro Schwed, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Friederich & Associates, Ltd. Name nf Respondent R.G. Dickinson & Co., Inc. Name of Claimant Gary & Julie Ann Friederich 93-05167 of Resondent 93-05157 (consolidated with 93-05167) R.G. Dickinson & Co., Inc. Representation of Parties Claimants Friederich & Associates, Ltd., ("Friederich") and Gary & Julie Ann Fr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Friederich & Associates, Ltd. of Resondent 93-05157 (consolidated with 93-05167) R.G. Dickinson & Co., Inc. Name of Claimant Gary & Julie Ann Friederich 93-05167 Name of Respondent R.G. Dickinson & Co., Inc. Claimants Friederich & Associates, Ltd., ("Friederich") and Gary & Julie Ann Friederich ("Friederichs") (

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The William C. Strange and Lucille R. Strange Revocable Living Trust UDA 4/22/98, Lucille R. Strange and Carl W. Strange, Trustees vs. Case Number: 06-02008 Hearing Site: Troy, Michigan Names of Respondents H&R Block Financial Advisors, Inc. and Edward Weidman NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF P