AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Patricia A. Woods. Claimant, v. 96-04344 Stifel. Nicohius & Co., Inc.. and Joseph J. Weinrich. Respondents. REPRESENTATION OF PARTIES Patricia .\. Woods ("Claimant") was represented by Thomas O. Baker. Hsq. of Baker Sterchi Cowdeti & Rice. L.L.C.. Kansas City. Missouri. Stifel. Nicolaus& Co., Inc. ("SNC") was represented by John \V. Shaw. Es

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Isaac Moradi, Jacob Moradi and Victoria Moradi, Claimants vs. National Financial Services Corporation, Respondent, and Steven L. Eitman, Respondent Case Number: 96-04343 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Isaac Moradi, Jacob Moradi and Victoria Moradi, (collectively "Claimants"): Jay D. Fischer, Esq., Alan C. Thomas, Esq. and Reena Forst, Esq., of Fi

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Betty J. Ryan. Claimant, v. No. 96-04336 American Express. American Express Financial Advisors. Inc.. IDS Life Insurance Company. Connie Johnston, and Cindy Schwert. Respondents. REPRESENTATION OF PARTIES Claimant Betty J. Ryan ("Claimant") was represented by Anthony V. Trogah. I-sq. of Weisman. Trogan. Young & Schloss, P.C. located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwee'n \ - Names of Gaimants ,_,^ Robert J. and Ruth M. Nist Robert J. Nist IRA and Ruth M. Nist IRA 96-04325 Names of Respondents Houston Investment Group Sunpoint Securities, Inc. Aragon Financial Services, Inc. Cynthia M. Cook Gail Griseuk-Gentry Thomas Cannon REPRESENTATION For Claimants: Jeffrey P. Coleman, Esq., Clearwat

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants/Counter-Respondents Erwin Cohn and Bernice L. Conn 96-04321 NameofRespondents/Counter-Claimants/Third-Part\Claimants Shamus Group, Inc.; Shamus Capital Group, Inc.; Shamus Venture Capital, L.P.; Bishop Allen Inc.; Linda Anderson; Gregory Polowitz; Robert Furman; James P. Sheehan Name of Third-Respondent/Counter-Claimant Xenophen"John" Pateras REPRE

N.A.SJ). REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04314 William D. Baldwin, claimant v. Carlin Equities Corp. and Gale R. Donovan, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Los Angeles, CA. For Respondent Carlin Equities Corp. appeared Salvatore Risi - New York, NY. For Respondent Gale R. Donovan appeared Leon Reich, Esq. - Great Neck, NY. DATE FILED: 9/27/96 CASE SUMMARY: Claima

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECUMTEES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimants William T. & Helen W. Sutherland Sutherland Family Trust 96-04311 Name of Respondents State Capital Markets Corporation Vijay A. Sud REPRESENTATION Claimants William T. and Helen Sutherland, individually ("Sutherlands"), and as co-trustees of the Sutherland Family Trust ("Trust") were represented

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert E. Stanley 96-04307 PaineWebber, Inc. Kevin R. Katterhenry REPRESENTATION Claimant Robert E, Stanley ("claimant") appeared pro se. For Respondents PaineWebber, Inc. and Kevin R. Katterhenry ("Katterhenry") appeared Hector Becil, Esq. of PaineWebber, Inc. CASE INFORMATION Statement of Claim filed on August 5, 1996. Claimant's Submission Agreem

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04306 Olde Discount Corporation, claimant v. Barry & Leanne Raymond, respondents. ATTORNEYS: For Claimant appeared Steven D. Carby, Esq. - Detroit, MI. For Respondents appeared Robert D. Charleston, Esq. Bala Cynwyd, PA DATE FILED: 9/27/96 CASE SUMMARY: Claimant alleged failure to pay debit balance in account after sale of stock. Claim Data Award Data

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael T. Lucas, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 01-02143 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Michael T. Lucas: Philip A. Kramer, Esq. Kramer & Kaslow, PC Calabasas, California For Respondent TD Waterhouse Investor Services, Inc.: John L. Erikson, Jr., Esq. Jones, Bell, Abbott, Fleming