N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' Name of Claimant Phyllis F, Jones 96-04392 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 2, 1996, claimant Phyllis Jones ("claimant") who appeared Pro Se, alleged that respondent Charles Schwab & Company, Inc. ("Schawb") mislead he

N.A.S.D. Regulation AWARD In the Matter of the Arbitration Between , Name of Claimant John R. Smilovich 96-04389 Name of Respondents Kensington Wells Incorporated Edwin Lawrence, Jr. CASE SUMMARY In a case filed with the National Assocahrion of Securities Dealers Regulation, Inc. on October 2, 1996, claimant John Smilovich ("claimant"), who appeared Pro Se, alleged that respondents Kennsington Wells Incorporated ("KWI") and Edwin Lawrence ("

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Vern W. & Janet I. Vanderbur Vern W. & Janet I. Vanderbur as Trustees of the Money Purchase Plan and Profit Sharing Plan of Western State Elevator Co., Inc. 96-04388 Name of Respondents Stratton Oakmont, Inc. Daniel Mark Porush Robert William Koch Marc Ocello REPRESENTATION OF PARTIES For Cla

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Colin Joyston-Bechal 96-04386 Name of Respondents Raymond James & Associates, Inc. Larry C. Hill REPRESENTATION OF PARTIES For Claimant Frank R. Brady, Esq. and Jeanne Brady of the law firm of Brady & Brady, '""•"•Ftatbh/FIOfldaV .-••'•-.-'-- --> " - " ; - : ^ : >..-—"-=-""-- : --- • ••fc-'-^VBfrf

AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the Matter of Arbitration Between John Veres and Vera Veres, Claimants, and No. 96-04385 Smith Barney Incorporated and Alton T. Davis, Respondents. REPRESENTATION OF PARTIES For Claimants: John Veres and Vera Veres ("Claimants" or the "Veres") were represented by Alan F. Block, Esq. of Block & Landsman, located in Chicago, Illinois. For Respondents: Smith Barney Incorporated ("Smith

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Krishnamurthy Ramakrishna 96-04384 Name of Respondents H.J. Meyers & Co., Inc.; Mark Allen; Robert Settcducati; and Thomas James Associates, Inc. REPRESENTATION For Claimant: Krishnamurthy Ramakrishna 0*Ramakrishna w ) was represented by Eric Ross, Esq., of the Law Offices of Dan Brecher, located in New York, New York. For Respondents: H

r. NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between § § Name of Claimant: § § HARRY M. FARNHAM, JR. IRA § § Case 96-043 76 Name of Respondents: § § THOMAS JAMES ASSOCIATES, INC., a New § York corporation, H. J. MEYERS & CO., INC. § a/k/a/MEYERS SECURITIES CORPORATION, § a California corporation, MARK ALLEN, § an individual, and ROBERT SETTEDUCATI, § an individual. § REPRESENTATION For Claimant: Har

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Alan and Marsha Garfield 96-04375 HJ. Meyers & Co., Inc.; Mark Allen; Robert Setteducati; and Thomas James Associates, Inc. REPRESENTATION For Claimant: Alan Garfield and Marsha Garfield ("Garfield") were represented by Eric Ross, Esq., of the Law Offices of Dan Brecher, located in New York, New York, and appeared at hearing telephonically. For

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Ahlstedt, Jeffrey D. Franklin, and David Unsworth, Claimants v. Broadmark Capital Corporation, Stephen J. DeGroat, and Joseph L. Schocken, Respondents Case Number: 01-02144 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Anthony M. Englese, Esq. Law Offices of Anthony M. Englese San Francisco, California For Respondents

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION,INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Thomas W. Bibb and Names of Respondents H.J. Meyers & Co., Inc., Mark Allen, and Robert Seteducatti Case Number 96-04369 REPRESENTATION OF PARTIES Claimant, Thomas W. Bibb was represented by Dan Brecher, Esquire of Fischbein, Badillo, Wagner & Harding located