N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04422 Chwen-Jiann Fang and I-Fen Hu, claimant v. E*Trade Securities, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se - Palo Alto, CA. For Respondent Bob Salvador, Compliance Analyst - Palo Alto, CA. DATE FILED: October 4, 1996. CASE SUMMARY: Claimants alleged failure to timely execute KLAC stock sell order. Claim Data Award Data Claim: $875

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Henry Murad 96-04421 Name of Respondent State Street Capita! Markets Corp. REPRESENTATION Claimant Henry Murad ("claimant") appeared pro se. For respondent State Street Capital Markets Corp. ("respondent") appeared John of the law offices Gursae, Kaplan & Bruno located in New York, New York. HoweVe^i Jonfi V Bersin, Esq. withdrew as counsel for the respondent pri

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Deborah Sherman v. • Arbitration No. 96-04420 Name of Respondents John Dawson & Associates. Ravi Yanamadula. Deron Coleman and Marc Willis REPRESENTATION For Claimant: Barbara Olsen. Esq. Santa Barbara. California For Respondents: Thomas P. Ward. Esq. McBride. Baker & Coles Chicago. Illinois CASE INFORMATION

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between . Wally Connard, Claimant, and No. 96-04417 Perry Raphan, and Renaissance Financial Corp., Respondents. REPRESENTATION OF PARTIES Claimant, Wally Connard, was represented by Michael Salcido, Esquire, located in Scottsdale, Arizona. Respondent, Renaissance Financial Corp., was represented in the pleadings and at the hearing by Roger J. Schwarz, E

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Margaret Archer Claimant, and No. 96-04416 Boris Glikberg, and Whitehouse & Moore Investments, Inc., Respondent. REPRESENTATION OF PARTIES For Claimant: Margaret Archer ("Claimant") was represented by Patrick T. Driscoll, Jr. Esq. of Hickey, Driscoll, Kurfirst, Patterson & Melia, located in Chicago, Illinois. For Respondents; Boris Glikberg ("Gl

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Level Propane Gases, Inc. 96-04412 Name of Respondents Smith Barney Shearson, Inc., now known as Smith Barney Inc.; Lawrence]. Milne; Fareed Siddiq REPRESENTATION For Claimant: Level Propane Gases, Inc. ("Level Propane") was represented by Hugh McKay, Esq. of the Law Offices of Porter, Wright, M

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Proceeding Between May Financial Corporation, Claimant/Counterrespondent, Vs. S.S.T. Insurance Agency, Inc., Respondent/Counterclaimant/Third-Party Claimant, Vs. Northstar Securities, Inc., Third-Party Respondent. Case Number: 01-02152 Hearing Site: Cleveland, Ohio REPRESENTATION OF THE PARTIES Claimant/Counterrespondent May Financial Corporation ("Ma

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 96-04411 Henry Jisrawi Rima Jisrawi Claimant vs. Wedbush Morgan Securities, Inc. Walter MacCarron Respondent REPRESENTATION OF PARTIES For Claimants: Henry Jisrawi, San Francisco, California -For-Respondents;- Marie .Eaton and Arrnen.Sebastian, Esq., Wedbush Morgan Securities, Inc., Los Angeles, Califo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. in the Matter of the Arbitration Between Name of Claimant Benjamin B. Lipton Trust 96-04410 Name of Respondent Vanguard Brokerage Services CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 3, 1996. claimant Benjamin B. Lipton Trust ("claimant"), who appeared Pro Se, alleged that respondent Vanguard Brok

AWARD NASD Regulation, Inc. Office of Dispute Resolution Arbitration Between Helen K.Mathieson, Claimant and Counter-Respondent, v. Charles Schwab & Co., Inc., Respondent, Counter-Claimant, and Cross-Claimant, No. 96-04408 V. Gary A. Wawrzaszek, Respondent and Cross-Respondent. & Hoops, P.L.C. located in Farmington Hills, Michigan. Respondent, Counter-Claimant, and Schwab") was represented by Steven Lanum, Esq. California. Re