Or? '^,,• f AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Gina M. Lombardi and Mark Mathias, Co-TTEE's for the Gina Marie Lombardi and Mark Russell Mathias Trust and Arbitration No. 96-04029 Name of Respondents Coast Financial Securities, Inc. Gerald H. Klein Klein Pavlis Financial, Inc. REPRESENTATION OF PARTIES Claimants were represented by Arthur Lei

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Assadullah M. Syed and Ataullah M. Syed v. • Arbitration No. 96-04026 Name of Respondents U.S. Securities and Futures Corp., Nasim Khan, John O. Hing, Elizabeth Bosco and Oppenheimer & Co., Inc. REPRESENTATION For Claimants: Robert A. Uhl, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: Fred S. Konigsb

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Adam H. Pawlikiewicz and 96-04024 Name of Respondent Josephthal, Lyon & Ross, Inc. Thomas J. Moeller REPRESENTATION OF PARTIES Adam H. Pawlikiewicz ("Claimant") appeared pro se. Josephthal, Lyon & Ross, Inc. ("Respondent JLR") and Thomas J. Moeller ("Respondent Moeller") were represented by Robert E. Murphy, Esq., Josephthal

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James N. and Barbara B. Galbraith 96-03329 96-04015 96-04016 Name of Respondent 96-04017 Nationwide Securities Corporation CASE SUMMARY In cases filed with the National Association of Securities Dealers Regulation, Inc. on September 4 and 9. 1996, claimants James and Barbara Galbraith ("claimants") who appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leslie Ann Fletcher 96-04014 Name of Respondents Fox & Company Investments Nicholas J. Klapp Jim Moldermaker CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 9, 1996. claimant Leslie Ann Fletcher ("claimant"), who appeared Pro Se, alleged that respondents Fox &

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Morgan Stanley & Co., Inc. Name of Respondent 96-04013 .**- --M Steven Yamane •Third-Party Respondent Barry Davis REPRESENTATION For Claimant Morgan Stanley & Co., Inc. ("Morgan Stanley") and Third-Party Respondent Barry Davis ("Davis") appeared Jerry Fortinsky, Esq., of the law offices of Shearman & Sterling, located in New York, New York.

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward and Pauline Zawisza 96-04012 Name of Respondents Prudential Securities, Inc. George Chamberlin CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulators, Inc. on September 9, 1996, Claimants Edward and Pauline Zawisza ("Claimants") through their representative Paul N. Young, of Sec

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04011 Jamal Herrera, claimant v. Greenway Capital Corp., respondent. ATTORNEYS: Claimant appeared Pro Se - Mauldin, SC. Respondent appeared Pro Se - New York, NY. DATE FILED: September 9, 1996. CASE SUMMARY: Claimant alleged that respondent sold his Teletek stock without knowledge or consent. Claim Data Award Data Claim: $10,000.00 Award: $5,000.00

^J>.L2_J£3jLJ»239 OFFICE OF DISPUTE RES 12)003/004 uispute Kesoiwion, \ r^ f?^ n^ n TV/? IE? Q J fe (G l^ U W li IN ARBITRATION BEFORE THE NASD REGULATION. WNUVX QEC 1 3 2001 CHARTER ONE SECURITIES, Claimant, ) v. ) NASD DANIEL ANTIOHO, et ill, ) Respondents. ) I IN ARBITRATION Pursuant to tiie Settlement Agreement of all parlies to Uiis arbitration, the Arbitration Panel empanelled vo hear this case enters the following Agreed O

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04010 George and Joanne Kolovos, claimants v. Stratton Oakmont, Inc. and Peter T. Tsadilas, respondents. ATTORNEYS: For Claimant Claimants appeared Pro Se. - New Castle, PA. Respondent For Respondent Peter T. Tsadilas appeared Andrew Greitz, Esq. - Mitchel Field, NY. DATE FILED: September 9, 1996. CASE SUMMARY: Claimants alleged breach of fiduciary