AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert C. Schmidt, Trustee of the Robert C. Schmidt Trust U/A/D May 26, 1982 and Robert Schmidt, Trustee of the Robert Schmidt Insurance Agency Assumed Benefit Plan U/A/D December 31,1981 and 00-00801 Southfield, Michigan Tasin & Co., Inc. Salvatore Sapienza Eric Weschke Michael E. Sackstein Thomas J. Mullaly Richard P. McGuire Stephen P. Don

JUH. 1.1998 8:0a=n NfiSD REGULfiTION FL . NO.249 P. 14 RA.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Qajniant James Doubleday, IRA 96-04249 . of_Resondems Smith Barney, Inc. Jerry Jiganti REPRESENTATION For Claimant: William T. Kirttey, Esq., Sarasota, FL. For Respondents: Linda R. Alpert, Esq.. of Smith Barney, Inc. New York, NY. CASE INFORMATION Statement of Qa

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantf si Ming-Dake Wang Wei-Wang v. Arbitration No. 96-04246 Name of Respondents'! Wyse Securities, A Division of Pyramid Financial Corporation REPRESENTATION For Claimant: Harry Delizonna, Esq., San Jose, California For Respondent: Morton Friedlander, North Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: Se

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04243 Charles Kitchen and Yolanda Kitchen, claimants v. Quick and Reilly, Inc., respondents. ATTORNEYS: For Claimant Claimants appeared Pro Se - Rohnert Park, CA. For Respondent Douglas S- Flaherty, Esq. in-house counsel - New York, NY. DATE FILED: September 23, 1996. CASE SUMMARY: Claimants alleged misrepresentation regarding the sale price of shares

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yale and Frances Garber 96-04240 Name of Respondents Biltmore Securities, Inc. Thomas M. Pronesti CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 23, 1996, claimants Yale and Frances Garber ("claimants"), who appeared Pro Se ? alleged that respondents T

AWARD NASD REGTTIATIQN. INC,, OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Jeffrey C. Jewell Arbitration No. 96-04239 of Respondent f s Smith Barney Inc. David Alderman For Claimant: Katherine Hendricks, Esq., Hendricks & Lewis, Seattle, Washington For Respondents: Marion S.Chan, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: September 18, 19

N.A.S.D. REGULATION AWARD *» NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Atef A. Salam 96-04237 Name of Respondent BuckJiead Financial Corp. CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on September 23. claimant Atef Salam ("claimant"), who appeared Pro Se, alleged that respondent Buclchead Financial Corporation ("Bu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Roger P. and Judith A. Anderson Name of Respondents Ferris Baker Watts & Company, Incorporated Gary Richman Jerald Lewis 96-04235 REPRESENTATION Claimants Roger P. and Judith A, Anderson ("Claimants") were represented by D. Christopher Only, Esq., Patton Boggs, Baltimore, MD. Respondents Fer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC in the Matter of the Arbitration Between Name of Claimant Richard Veer man 96-04234 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMVRY In :i case filed with National Association of Securities Dealers Regulation. Inc. on September 23. claimant Richard Veerman ("claimant"), who appeared Pro Se. alleged that respondent Dean Witter Reynolds. Inc. ("Dean W

NASD Regulation Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimantfg) Judith M. Cordover o cspondents') A.G. Edwards & Sons, Inc. 96-04231 REPRESENTATION Claimant Judith M. Cordover ("Cordover") appeared pro se. For Respondent A.G. Edwards & Sons, Inc. ("A.G. Edwards"): Jeff Jamieson, Esq. of A.G. Edwards, St. Louis, MO. CASE INFORMATION Statement of Claim tiled: September 23, 1996. Claimant's