N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant • : ~ Olive Toy-Lain Wong 96-01497 Name of Respondents Citicorp Investment Services Joon Ho Chun CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1996, Claimant Olive Toy-Lain Wong ("Claimant"), who appeared Pro Se, alleged that Respondent Citicorp Investment Servic

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Neil E&trin 96-01496 Name of Respondent Peter Sullivan REPRESENTATION Claimant Stephen Neil Estrin ("claimant") appeared pro se. s For Respondent Peter Sullivan ("respondent") appeared Patrick J. Howley, Esq., Associate General Counsel for I\icker Anthony, Incorporated. - CASE INFORMATION St

AW\RD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) The Lincoln National Life Insurance Company Lincoln Cascades, Inc. Paul S. Lewis Daniel E. Fenker Moira Cordova v. Arbitration No. 96-01493 Name of Respondents) Elizabeth Dann Northwest Fringe Benefits, Inc. REPRESENTATION For Claimants: Christopher B. Wells, Esq. Lane Powell Spears Lubersky Seattle, W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cassandra P. Wells TTEE 96-01487 Name of Respondent Thomas H. Seabron CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1996, claimant Cassandra P. Wells as Trustee for the Cassandra P. Wells Remainder Unitrust ("claimant"), who appeared Pro Se, alleged that respondent Thomas H.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Myron J. Kafka NASD CASE NO. 96-01480 Name of Respondents Josephthal Lyon & Ross Incorporated, George W. Stinson, Jr. and Harrison Margolin REPRESENTATION For Claimant: David G. Hutchison, Esq., Key Largo, Florida. For Respondent Josephthal Lyon & Ross Incorporated ("JLR"): Brian J- Neville, Esq., Associate General Coun

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION in the Matter of the Arbitration Between Name MargoJ. Lakin; MargoJ. Lakin Investment Trust; Herbert S. Lakin, M.D.; and The Herbert S. Lakin, M.D. Trust 96-01478 Name pf Respondents Oak Ridge Investments, Inc.; Mathews Holmquist & Assocation, Inc.; Samuel Wegbreit; Leonardo E* Townsend; =.-•,„*-. rfl >•-=,;=; : - 1 David M. Klaskin ; ; -

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Fernando A. Magadan, Claimant, v. No. 96-01474 Charles Schwab & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimant Fernando A. Magadan represented himself. Respondent Charles Schwab & Co., Inc. was represented by Gregory M. Scanlon, Esquire, of Charles Schwab & Co., Inc., located in San Francisco, California. CASE INFORMATION Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert S. Peet 96-01463 Name of Respondents A.S. Goldmen & Company, Inc. Ozgur Yilmaz Paul Colontino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 3, 1996, Claimant Robert S. Peet ("Claimant"), who appeared Pro Se, alleged that from April 1994, he began receiving cold c

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02032 Charles Schwab & Co., claimant vs. Seth M. Shaw, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, in house counsel, San Francisco, CA. Respondent appeared pro se, Poughkeepsie, NY. DATE FILED: April 23, 2001 CASE SUMMARY: Claimant alleged that a check that was received from the respondent was returned for insufficient funds which caused them to debit his accoun

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In Che Matter of the Arbitration Between Name of Claimants) Anabella D. Rich and Barbara R. North 96-01462 Andrew Tzanides Roy Elterman Joseph ChiulH For Claimants Anabdla D. Rich ("Rich") and Barbara R. North ("North*) (collectively "Claimants") appeared Barbara R. North, pro se, For Respondent Andrew Tzanides ("Tzanides") appeared Leon B. Lipkin, Esq., of the law office of Leon B