AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Arthur H. Williams, Claimant, v. No. 95-04380 Cigna Financial Advisors, Inc., Connecticut General Life Insurance Co., and Cigna Individual Financial Services. Respondents. REPRESENTATION OF PARTIES Claimant Arthur H. Williams was represented by W. Dan Boone, Esquire and Marc A. Susswein, Esquire of Liddle & Robinson located in New York, New

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Stifel, Nicolaus & Company, Incorporated and Names of Respondents Walter H. Johnson and >• GaryTillman Case Number 95-04377 (consolidated with 95-04379) National Association of Securities Dealers, Inc. All Rights Reseived ri ' lTri3jt REPRESENTATION OF PARTIES Stifel, Nicolaus & Co., Inc.("CIaimant

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of Arbitration Between Kent Thuc Tran, Claimant, v. Case No. 95-04374 Olde Discount Corporation to National Association of and David Wright, Secuntie* Dealers, inc. Respondents. AU Rights Reserved Mp^^NTAIIQN OF PARTIES Kent Thuc Tran ("Claimant") was represented by Frank V: Ghiselli, Esquire and Winstbnie^bhrah; • '\ "••."-,j.ra ; ^Esquire of frank' V. Ghi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Zoltan Ackerman Name of Respondents Cartwright & Walker Securities, Inc. and Gennady Rozenfeld NASD Arbitration No. 95-G4373 For Claimant: For Respondents: REPRESENTATION Zoltan Ackerman, Pro Se Valley Village, California For Respondent Gennady Rozenfeld: Sol Freedman, Esq. Rockville Center, New Yo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George E. Krant Don L. Krant 95-04367 Name of Respondents Wells Fargo Securities John D. McKinnon CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on September 13, 1995, Claimants George E. and Don L. Krant, who appeared Pro Se, alleged that Respondent Wells Fargo Securities Inc.,

AWARD NASD Regulation. Inc. . In the matter of the Arbitration Between Name of Claimant (s) Norbert Lechwar, Trustee for and on behalf of the Joseph F. Stoller Trust Arbitration No. 95-04364 Name of Respondent(s) Smith Barney Shearson Inc. Gordon P. Sinkoff REPRESENTATION For Claimant: Patricia J. Ulibarri, Esq. and Ronald V. LoLordo, Esq., San Diego, California For Respondents: John P. Bevilacqua, Esq., Smith Barney Inc., New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Michele Wolf 95-04355 Name of Respondent Gerardo A. Angulo Hassan Nemazee F.C. Financial Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September!;^ Claimant Michele Wolf, who appeared Pro Se, alleged that Respondent F.C. Financial Sefrices^fn&i ("FCFS"), and its representa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimants Herbert R. Spangler and Lura A. Spangler 95-04354 Name of Respondents Scott A. Pinkowitz RAS Securities Corp. CASE SUMMARY i" v ! In a claihi, filed with the National Association of Securities Dealers, Inc. on September Claimants Herbert RrSpangler and Lura A. Spangler ("Claimants"), alleged that they held:account#W51

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas Collier and Jean Buiwitt 95-04353 Name of Respondents Waterhouse Securities, Inc., Lisa Hachigian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12^1995^ Claimants Thomas'Collier and Jean Buiwitt ("Claimants"), who appeared Prb~.Se, an account witlil'^^MeMlykterh

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dale Snodgrass w/POA for Sylvia Gadbaw 95-04352 Name of Respondent Piper Jaffray, Inc. Doug B. Nichols CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, l995l'Oaimian£'i'5 ™*h Dale Snodgrass with a Power of Attorney for Sylvia Gadbaw ("Claimant"), who appeared Pro SeV aifegete