N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Deborah G. Michael 96-01526 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION Claimant Deborah G. Michael ("Claimant") was represented by Charles L. Williams, Esq. of Butler, Macon, Williams, Panetele, & Lowndes, Richmond, Virginia. Respondent Fidelity Investment Brokerage Services,

N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred G. Yee 96-01519 Name of Respondent E*Trade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1996, Claimant Fred G. Yee ("Mr. Yee"), who appeared Pro Se, alleged that on March 19, 1996, he purchased 500 shares of Philip Morris ("MO") through E*Trade S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Daniel J. Malicki 96-01516 Name of Respondents Oppenheimer & Co., Inc. Keith Simons REPRESENTATION Claimant Daniel J. Malicki ("Claimant") was represented by Earl R. Frost, Jr., Esq., Frost & Danchak, Columbus, OH. Respondents Oppenheimer & Co., Inc. ("Oppenheimer") and Keith Simons ("Simons") we

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert R. Pfeifer 96-01515 Name of Respondent Richard L. Ringel REPRESENTATION Claimant Robert R. Pfeifer ("Claimant") was represented by Susan Ciallella, Esq., Adler & Gold, Cherry Hill, NJ. Respondent Richard L. Ringei ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed April 8, 1996. Claimant's Uniform Submission

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jennifer K. Ennis 96-01514 Name of Respondents Janney Montgomery Scott, Inc. Timothy Ennis REPRESENTATION Claimant Jennifer K. Ennis ("Claimant") was represented by Debra G. Speyer, Esq. and Morgan Bentley, Esq., Philadelphia, PA. Respondents Janney Montgomery Scott, Inc. ("IMS") and Timothy Ennis ("Ennis")

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gary L. Triplett 96-01511 Name of Respondents Smith Barney, Inc. Richard Conway Richard J. Beatty REPRESENTATION Claimant Gary L. Triplett ("Claimant") appeared pro se. Respondents Smith Barney, Inc. ("SB"), Richard Conway ("Conway"), Richard J. Beatty ("Beatty") were represented by Marion S.

NASD REGULATION, INC AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants 1. Scott and Ellen K. Grosser 96-01510 Name of Respondents Janney Montgomery Scott, Tnc. Anthony W. Allen Eugene E. Peroni, Jr. REPRESENTATION For Claimants I. Scott and Ellen K. Grosser appeared, Anthony P. Picadio, Esq., from the law firm of Picadio, McCall, Kane & Norton located in Pittsburgh, Pennsylvania. For Respondents,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: A.G. Edwards & Sons, Inc., (Claimant) vs. Terence M. Wall, (Respondent) Case Number: 01-02033 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Jane Matoesian, Esq., Vice President & Counsel, A.G. Edwards & Sons, Inc., St. Louis, MO. Respondent, Terence M. Wall, hereinafter referred to as "Res

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Jim and Leena Uranwala v. Arbitration No. 96-01505 Name of Respondents Stratton Oakmont, Inc. Bryan E. Mills Gregory R. Hunt REPRESENTATION OF PARTIES Jim and Leena Uranwala ("Claimant") were represented by Jim Uranwala, pro se. Gregory R. Hunt ("Respondent") represented himself pro se. CASE INFORMATION Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virginia A. Rowland both as Trustee for the Virginia A. Rowland Trust and individually 96-01504 Name of Respondents Comprehensive Capital Corp. Thomas Barrett Mark Murray CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1996, claimant Virginia A, Rowland .both as Truste