\ Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02136 ' Rizwan Rehman Names of the Respondents Hearing Site: Boca Raton, FL First Liberty Investment Group, Inc. Casey Ryan Burt REPRESENTATION OF PARTIES For Rizwan Rehman hereinafter referred to as "Claimant": David A. Weintraub, Esq., Ft. Lauderdale, FL. For Respondent First Liberty Investment Group, Inc. ("FLT): W. Gresham Cooney, Presiden

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name o Prudential Securities Inc. v. Arbitration No. 96-04158 esondent Gary E. Larimer REPRESENTATION For Claimant: William M. Cassarini, Esq., Prudential Securities Inc., New York, New York For Respondent: Adam Levine, Esq., Law Office of Daniel Marks, Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: September 18, 1996

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Thomas J. Hughes 96-04155 Namq of Respondents Bernard Herold & Co., Inc. Mario J. Giammarco CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on September 18, 1996, claimant Thomas J. Hughes ("Claimant"), who appeared Pro Se, averred that he maintaine

AWARD NASD REgQIATIQN. INC.. OFFICE OP DISPUTE RESOLUTION In the matter of the Arbitration Between Name, of Claimant fs) Sutro & Co., Inc. Arbitration NO. 96-04154 Name of Respondent fa) Raymond Bramer REPRESENTATION For Claimant: Elizabeth S. Saleveson, Esq. and Barbara Smith, Esq., Howard, Rice, Nemerovski, Canady, Falk & Rabkin, San Francisco, California For Respondent: Richard E. Levine, Esq., Levine & Skigen, San Francisco,

AWARD NASD RECITATION INC.. OFFICE OK DISPUTE RESOLUTION In the mailer of the Arbitration Between Name of Claimant Glenn Tcubcr. as Executor of the Estate of Charles \V. I lall and as Trustee of the Charles W Hall Trust, dated 2/1/85 Arbitration No. 96-04152 Name of Respondents Pacific Coast Financial Securities. Inc.. Douglas E. Ashman. Thomas Cans. John M. Kliminski, Don Morandini REPRESENTATION For Claimant: For Respondent Pacific

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Greif&Co. v. Name of Respondents Valley Industries, Inc., Duane H. Zobrist, R. Phillip Zobrist, Richard Zobrist, E. Mark Zobrist, Gerry Zobrist, and Lloyd Benson Arbitration No. 96-04151 and Name of Counterclaimants Valley Industries, Inc., Duane H. Zobrist, R. Phillip Zobrist, Richard Zo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paul R. Trueblood Case No. vs. 96-04147 Name of Respondents Joseph Teseo Daniel R. Porush Stratton Oakmont, Inc. REPRESENTATION For Claimant Paul R. Trueblood ("Claimant") appeared Ralph A. Gant, Esq., of the firm Morris & McVeigh, LLP located in New York, New York. For Respondents Daniel M. Porush ("Porush"), Stratton Oakmont, Inc. ("Stratton")

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Heller Insurance Agency, Inc. Employee Profit Sharing Plan v. Arbitration No. 96-04145 Name of Respondent^ Robert Tretiak For Claimant: Stanford J. Heller, Trustee, Las Vegas, Nevada. For Respondent: Robert Tretiak, Las Vegas, Nevada. CASE INFORMATION Statement of Claim filed: September 16, 1996 Claimant's Submiss

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bernard Wartenberg 96-04143 Name of Respondents Thomas Scipione Chemical Investment Service Corp. REPRESENTATION Claimant, Bernard Wartenberg, ("claimant"), appeared Pro Se. For Respondents, Chemical Investment Service Corp, ("CISC"), and Thomas Scipione ("Scipione"), appeared, Gayle A. Mandaro, Esq., in house counsel for responden

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jon Muha 96-04140 Name of Respondent Smith Barney Inc. REPRESENTATION For claimant Jon Muha ("claimant") appeared Scott Michael Hare, Esq. of the law firm Bartony, Hare & Edson located in Pittsburgh, Pennsylvania. For respondent Smith Barney, Inc. ("respondent") appeared its in-house counsel, Paul K