Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ghassem N. Chafizadeh, M.D. Profit Sharing Plan, (Claimant) vs. Thomas G. Croonquist, (Respondent) Case Number: 01-01156 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ghassem N. Chafizadeh, M.D. Profit Sharing Plan, hereinafter to as "Claimant": Ghassem N. Chafizadeh, M.D., Fort Lee, NJ. Respondent, Thomas G. Croonquist, hereinafter referred to as "R

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Paul H. Peck Jeannine V. Peck Claimant(s) NASD Regulation, Inc. v. No. 96-00898 Smith Barney Inc. Respondent REPRESENTATION OF PARTIES For Claimants: Paul H. Peck, Ellensburg, Washington For Respondent: Sean Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: February 28, 1996 Claiman

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William 11. Fuller Claimant NASD Arbitration No. 96-00751 Josephthal, Lyon & Ross. Inc., Bear Stearns Securities Corporation Respondents REPRESENTATION OF PARTIES William H. Fuller ("Claimant") was represented by Richard D. Turner, Esq., Eisenhower & Carlson, Tacoma. Washington. Josephthal. Lyon & Ross, Inc. and Bear Stearns Securities Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Marie C. Mimger, individually Frederick H. & Marie C. Munger Living Trust 11/16/95 96-00749 Name of Respondent s) Victor Verola Great American Financial Network REPRESENTATION For Claimants Marie C. Munger ("Munger") and The Frederick H. & Marie C. Munger Living Trust ("the Trust"): Tim B. Wright, Esq. of Warner, Fox

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kirkpatrick, Pettis, Smith Polian, Inc. and 96-00746 Name of Respondent David T. Shettcrly REPRESENTATION OF PARTIES Kirkpatrick, Pettis, Smith Polian, Inc. (''Claimant") was represented by James M. Bausch, Esq., Cline, Williams, Wright, Johnson & Oldfather, Lincoln, Nebraska, David T. Shetterly ("Respondent") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Ann Eng 96-00742 Name of Respondent Quick & Reilly, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on February 20, 1996, claimant Patricia Ann Eng ("claimant"), who appeared Pro Se, alleged that respondent Quick & Reilly, Inc. ("Quick") failed to inform her about the current

AWARD NATIONAL ASSOCIATION O/ : * I X.'V CITIES DEALERS In the Kansas City, Missouri, alleged rh.it K^noi D. Giffoni '"(, : ;ff^ru '} wrongly corventd that Marv M Hailer :" Halier";, i:, dderiv account for invesrrnent savings v^r;-i Hirc represent;u!\c ' that she wrote account, ' In a claim filed with the National Association or" Securities Dealers, Inc. on February 16. 1946, Claimant Janice K. Nigh vVard ('Viaiman; " L acum- ;i

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Charles B. Alexander 96-00739 Name of Respondents Smith Barney, Inc. Peter B. Coley REPRESENTATION Claimant Charles B. Alexander ("Claimant") was represented by Brian C. Parker, Esq. of the law firm of Gebhardt & Smith, Baltimore, MD Respondents Smith Barney, Inc. ("Smith Barney") and Peter B. Coley ("Cole

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Bruce M. Brusavich and Deborah Brusavich v. Name of Respondents Arbitration No. 96-00738 Stratton Oakmont, Inc.; Jason R. Surface; James W. Garofalo, Jr.; Daniel M. Porush; Jordan Shamah; Andrew T. Greene; Paul F. Byrne: Matthias V. Tiffert: and Leonard Dunn REPRESENTATION For Claimant: For Respondent Stratton Oakrnont

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Paul C. Duffy 96-00730 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Richard M. Atwell REPRESENTATION g =-" "'"••' •- I For claimant Paul C. Duffy ("claimant") appeared Marian P. Abraham, Esq. of the law offices Deitzer, Moran & Abraham located in Boston, Massachusetts. For respondents Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill