N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Hoang Nguyen 96-00384 Name of Respondents Smith Barney Shearson, Inc. Steven D. Garber Paul M. Hatch John W. Sheehan Irvin a. Cross REPRESENTATION Claimant Hoang Nguyen ("Claimant") was represented by Lisa P. Clesner, Esq., Silver Spring, MD. Respondent Smith Barney Shearson, Inc. ("SBS"), Paul

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis Lockwood 96-00377 Name of Respondents TAJ Global Equities, Inc. Daniel Glass Paul N. Ignat CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1996, Claimant Dennis Lockwood ("Claimant"), who appeared Pro Se, alleged that Respondents TAJ Global Equities, [nc. ("T

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Leroy E. Nedom Gwendolyn C. Nedom v. Arbitration No. 96-00375 Name of Respondent^ Hugh Gee & Company, Inc. Quest Securities, Inc. Hugh Gee Terrence H. Gee REPRESENTATION OF PARTIES Leroy E. Nedom and Gwendolyn C. Nedom ("Claimant") was represented by Scot D. Bernstein, Esq., Law Offices of Scot D. Bernstein, S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gholam Rahman, Zeenat Rahman, Geyashuddin Ahmed, Muhammed Youssuf, and Maksudur Rahman, (Claimants) vs. Josephthal & Co., Inc. and Sheik Elahisiddiqui, (Respondents) Case Number: 00-05357 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Gholam Rahman ("G. Rahman"), Zeenat Rahman ("Z. Rahman"), Geyashuddin Ahmed ("Ahmed"), Muhammed Youssuf ("Youssuf"), and Maksud

NASD Arbitration No. 96-00368 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Fenway Advisory Group Name of Respondent/Third Parry Claimant Dain Bosworth, Inc. Name of Third-Party Respondents Douglas Glaser and D.A.G. Enterprises, Inc. REPRESENTATION For Claimant: Neil C. Sullivan Fenway Advisory Group Los Angeles, California For Respondent/Third-Party

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Holiday's General Service Corporation, Claimant, v. No. 96-00351 Henry O. Franck, and Prudential Securities, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Holiday's General Service Corporation ("Claimant") was represented by Michael E. Goldstein, Esq. of Hanover Walsh, Jalenak & Blair, Memphis, Tennessee. Respondents Henry O. Franck

flPR.13.1998 7 = 37PiM NflSD REGULATION FL NO.320 P. 16 j: AMENDED N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charles J. and Doris M. Nicholas 96-00345 Names of Respondents Marina Securities, Inc., aka Great American Financial Network, Inc. and Victor Verola REPRESENTATION For Claimants Charles J, and Doris M, Nicholas: William R. Ponsoldt, Esq., of Kohl,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Charles G, Christensen Name of Respondents The Robinson-Humphrey Co., Inc. Brian Moore 96-00341 REPRESEIJTAT1QN For Claimant Charles G. Christensen ("Claimant"), appeared George C Chenggis, Esq. of Richardson & Chenggis, located in Atlanta, GA. For Respondents The Robinson-Humphrey Co., Inc. ("RH") and Brian Moore ("Moore"), appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carmela M. Spano 96-00339 Name of Respondents Advest, Inc. T. Fazzina CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1996 claimant Carmela M. Spano ("Spano"), who appeared Pro Se, alleged that in November 1993 she invested $15,OQQ with respondent Advest, Inc. ("Advest

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John J. Byrnes 96-00335 Name of Respondents Irving Stitsky Jordan I. Shaman REPRESENTATION Claimant John J. Byrnes ("Claimant") appeared pro se. Respondents Irving Stitsky ("Stitsky") and Jordan I. Shamah ("Shaman") did not appear. CASE INFORMATION The Statement of Claim was filed January 23,