N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants James D. Wannigman and Melissa J. Wannigman 96-04913 Name of Respondents Sterling Foster & Co., Inc. Michael Sabato CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on November 4, 1996, claimants James D. Wannigman and Melissa J. Wannigman, by James

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Gregory A. Fauerbach Name nf the Respondp.nts First Liberty Investment Group; and Ramsey T. Carpen Case Number 01-02206 Hearing Site: Milwaukee, Wisconsin OF Claimant Gregory A. Fauerbach ("Fauerbach") was represented by Arthur S. Leider of Investors Arbitration Specialists, located in San Diego, California. Respondent First Liberty Inv

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04912 Robert & Monica Lemus, claimants v. Spehnan & Co., Inc., respondent. ATTORNEYS: For Claimants Claimant appeared Pro Se. - Escondido, CA. For Respondent Houston Goddard in-house-counsel - San Diego, CA. DATE FILED: 11/4/96 CASE SUMMARY: Claimants alleged negligence and breach of fiduciary duty in sale of shares in a private placement. Clai

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Wong 96-04910 Name of Respondents Investors Associates, Inc Adam Massilh Becky Nunez CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 4, 1996, claimant James Wong ("claimant"), who appeared Pro Se, alleged that respondents Becky Nunez ("Nunez"

* I* APR.28.1998 3:05PM NASD REGULATION FL NO.915 P.7/14 NASD REGULATION, INC. AWARD Office of Dispute Resolution in the Matter of the Arbitration Between Names of Claimants Kenneth W. Brown Wendy W, Brown Case No. 96-04909 Names of Respondents Winthrop Securities Co., Inc. Jonathan Wexler Bert J. Gilbert Charles R. Levy Ronald E, Millard, Jr. Lee Roeder Thomas Trkla REPRESENTATION OF PARTIES For Claimants; Russell L.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS tn the Matter of the Arbitration Between , Name of Claimant Scott Daiagi 96-04908 Name of Respondent Investors Associates, Inc CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on November 4, 1996, claimant Scott Daiagi ("claimant"), who appeared Pro Se, alleged that on or about June 2, 1995, he purchased 1500 shares of New Day Be

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Cullom & Sandow Securities, Inc., Claimant, and No. 96-04904 Richard Wayne Wells, St., Respondent. REPRESENTATION OF PARTIES Claimant Cullom & Sandow Securities, Inc. ("CSS") was represented by Richard L..-Sandotv of Cullom & Sandow Securities, Inc. located in Roanoke, Texas. ^ .': Respondent Richard Wayne Wells, Sr. ( "Wells") represented himself.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04902 Ernest E. Kemp, claimant v. Smith Barney Inc. and Robert D. Handen, respondents. ATTORNEYS: For Claimant G. Mark Brewer, Esq. - La Jolla, CA. For Respondents Ann Parry, in-house counsel - New York, NY. DATE FILED: November 4, 1996. CASE SUMMARY: Claimant alleged breach of fiduciary duty, negligence, unsuitability, breach of contract and failu

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jean Ward Trustee Jean Ward Living Trust, Claimant v. Pacific Coast Financial Securities, Eric Morandini, Don Morandini and Thomas Gans, Respondents. Case Number: 96-04899 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jean Ward In Pro Per Pasadena, California Statement of Claim filed: October 30,1996 Claimants Uniform Submission Agreement si

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Matthew Thaller, Claimant, v. No. 96-04888 Prudential Securities, Inc., f/k/a Prudential Bache Securities, Inc., Alphonso J. Esparza, Gail B. Dellinger, and Troy Sumrall, Respondents. REPRESENTATION OF PARTIES Claimant Matthew Thaller ("Claimant") was represented by Dean J. Favret, Esq. of Favret, Demarest, Russo & Lutkewitte located in