. t A-' AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Brian Randolph v. Arbitration No. 96-00933 Name of Respondents Nicholas "Nick" Ellis Jon Joseph Hanousek and Corporate Benefit Securities REPRESENTATION For Claimant: For Respondents: CASE INFORMATION Statement of Claim filed: Claimant Brian Randolph's Submission Agreement signed:

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Allan H. Galbreath, M.D., individually and on behalf of Allan H. Galbreath, M.D. Inc., a California corporation; Dorothy J. Ertl; and Sue C. Moore Arbitration No. 96-00927 Name of Respondentfs) Sutro & Co., Inc. and Russell Godt REPRESENTATION For Claimants: Louis J. Anapolsky, Esq., Knox, Lemmon, Anapols

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irene and Julio Garriga and Judith Alexander NASD CASE NO. 96-00922 Name of Respondents Greenway Capital Corp. and Michael J. DeMaio REPRESENTATION For Claimants: Raymond V. Miller, Esq. of Kaufman, Miller, Dickstein & Gnmspan, P.A., Miami, Florida. For Respondent Greenway Capital Corp. ("Greenway"): Ruthann G. Niosi,

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Ezra Bayda Diane Bayda Claimant(s) NASD Regulation, Inc. v. No. 96-00919 Alan Berman First Affiliated Securities, Inc. Respondent(s) REPRESENTATION OF PARTIES Ezra Bayda, Diane Bayda were represented by Ezra Bayda, Santa Rosa, California Alan Berman was represented by Alan Berman, Santa Rosa, California First Affiliated Securities,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rosalie M. Nolen 96-00913 Name of Respondents Donaldson Lufkin & Jenrette Securities Titan/Value Equities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 29, 1996, claimant Rosalie M. Nolen ("claimant"), through her representative James D. Keeney, Esq. of the l

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant » = s =^====^ Prudential Securities, Inc. 96-00911 \ Name of Respondent Bruce Eaton REPRESENTATION Claimant Prudential Securities, Inc. ("Claimant") was represented by Christopher Freeze, Esq., Prudential Securities, Inc., New York, NY. Respondent Bruce Eaton ("Respondent") was represented by L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alberta Jeanne List 96-00905 Name of Respondents Ralph Sadler Powell Charles A. Creekmore CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on February 29, 1996, claimant Alberta Jeanne List ("claimant"), who appeared Pro Se, alleged that respondents Ralph S. Powell ("Powell") and Charle

a NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Mark Champoux NASD Regulation, Inc. v. Office of Dispute Resolution Arbitration No. 96-00903 Name of Respondents Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant: In Pro Per For Respondent: Daniel A. Osborn, Esq. Brown & Wood N

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Manuel Ybarguen Arbitration No. 96-00902 Name of Respondentfs) Sentra Securities Corporation Great Western Financial Securities Corporation REPRESENTATION For Claimant: Norman R. Allenby, Esq., Hillyer & Irwin, San Diego, California For Respondent Sentra Securities Corporation: Bradd L. Milove, Esq. and Cynthia M

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Liang-Ju Lu and 96-00901 Narne of Respondent Jospehthal Lyon & Ross, Inc. REPRESENTATION OF PARTIES Liang-Ju Lu ("Claimant") was represented by Daniel W. Schermer, Esq., Schermer & Schermer, Minneapolis, Minnesota. Jospehthal Lyon & Ross, Inc. ("Respondent") was represented by Brian J. Neville, Esq., Josephthal Lyon & Ross,