AWARD V NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants 1 Michael Shields v. Arbitration No. 96-04663 Name of Rcspondcntfs) Jeffrey Ihm REPRESENTATION For Claimant: Wesley Shields, Esq., Aiameda, California For Respondent: No appearance CASE INFORMATION Statemeni of Claim filed: November 8, 1996 Claimant's Submission Agreement signed: October 4, 1996 Respondent did

MARE NASD REGPIATION, INC. In the matter of the Arbitration Between Name* nF Claimant: Jack Lehtinen Name of Respondents Greenway Capital Corporation National Financial Services Corporation Name af Cross • f!l a invent and Third- Partv-^Claimants National Financial Services Corporation Greenway Capital Corporation Name of Third-Party Respondent Michael G. Wheelock Arbitration NO. 96-04662 For Claimant: Jack Lehtinen, Las Vega

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration between ) Claimants, ) ) Case No. 96-04654 vs. LEW LffiBERBAUM & CO., INC., and JEFFERY L.WILSON, Respondents. REPRESENTATION OF PARTIES Claimants, Kathleen Erbar Smith and James Rodney Smith were represented by P. David Newsome, Jr., Esq. and R. Richard Love, III, Esq. of Conner & Winters, P.C. located in Tulsa, Oklahoma. Respondent, Lew L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betweert Name of Claimant Mike H. Samadi 96-04646 Name of Respondents Summit Investment Corporation John F, Stevenson CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 18, 1996, claimant Mike Samadi ("claimant"), who appeared Pro Se, alleged that respondents John Stevenson ("Stev

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between William H. Daniel, Claimant, and Case Number: 96-04634 Joe Psaimonds, Jr., Respondent. REPRESENTATION OF PARTIES Claimant William H. Daniel ("Claimant") was represented by William S. Shepherd, Esq. of William S. Shepherd & Associates, P.C. located in Houston, Texas. Respondent Joe Psaimonds. Jr. ("Respondent") was represented by Michael Sc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Alvin Biagas Albert and Lucinda Biagas Marian Olson 96-04632 Name of Respondents D.H. Blair & Company Joseph Aguilera REPRESENTATION Claimants Alvin J. Biagas, Marian Olson, Albert P. Biagas, and Lucinda Biagas ("Claimants") were represented by A. Scott Bolden, Esq. and David Ober, Esq., Ree

lift/ - f t \\J\Qt AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs> Lawrence B. Sullivan v. Arbitration No. 96-04631 Name of Respondent^s) .. S. Goldmen & Company, Inc. R. D. White & Co,, Inc. For Claimant: Herbert M. Deutsch, Esq., Deutsch & Lipner, Garden City, New York:' ! For Respondent A. S. Goldmen: Carl Bernstein, Esq., Agins, Siegel & Reiner, New York,r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ! , ... /-y-r In the Matter of the Arbitration Between ' I °/ l Names of Claimants Helen and Luis Hernandez 96-04629 Names of Respondents Rickel & Associates, Inc. Paul P. Kotos Ross £. Noble REPRESENTATION For Claimants: Robert Dyer, Esq. of the law firm of Allen, Dyer, Doppelt, Milbrath & Gilchrist, P. A., Orlando, Florida. . ,, ;, For Respondent Rickel & Associa

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Mollie Leff and Marsha Aarons 96-04628 Name of Respondents Janney Montgomery Scott Inc. Thomas Lynch REPRESENTATION Claimants Mollie Leff ("Leff") and Marsha Aarons ("Aarons") or ("claimants") appeared Pro Se. For respondents Janney Montgomery Scott ("IMS") and Tim Lynch ("Lynch") appeared their

AWARD NASD REGULATION. INC. r OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Dakin Securities, Inc. John H. Dakin v. Arbitration No. 96-04626 Name of Respondent Marc W. Vraciu REPRESENTATION For Claimants: Terry M. Gordon, Esq., Epstein Becker & Green, San Francisco, California For Respondent: Christine A. Djemaes, Esq., San Francisco, California CASE INFORMATION Statement of Claim