AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Jitsuo & Jane Yamamoto v. Arbitration No. 96-02856 Name of Respondents La Croix Alexander Financial Corporation and GPS Consulting Corporation REPRESENTATION For Claimant: Peter Epstein Rancho Palos Verdes, California For Respondent: Dan R. Waller, Esq. Secore & Waller, LLP Dallas, Texas CASE INFORMATION St

AWARD ' NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent First Option of Chicago, Inc. Name of Respondents/Counter-Claimants Arauca Trading Limited Partnership; Arauca General, Inc.; Stephen G. Macklem; Henry Gosiene; Brent Harrison; New Allegheny, Inc.; and Hasco, Inc. 96-02855 Name of Cross-Claimants and Third Party Claimants Arauca Trading Limited Partnership; Arauca General, Inc.;

RA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David W. Reber 96-02853 Name of Respondent Nationwide Securities Coip. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 3, 1996, claimant David W. Reber ("claimant"), who appeared Pro Se, alleged that respondent Nationwide Securities, Inc. ("respondent") sold him securities to his d

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Michael Delaney 96-02845 Name of Respondent Rodman & Renshaw, Inc. REPRESENTATION For Claimant: Michael Delaney ("Delaney") was represented by Gregory A. Friedman, Esq, of Friedman & Holtz, P.C., located in Chicago, Illinois. For Respondent: Rodman & Renshaw, Inc. ("Rodman") was represented by Michael J. Gaertner, Esq. of L

Arbitration & Mediation Nntional Association , it Securities Dealtfrs.lne. * NASD Financial Center * 33 Whileltall Street * New V*>rk,NY 10004* F«x Washington DC Satellite office at; 1735 K Street. NW * Washing mi. DC 2000ft * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fidelity National Capital Investors, Inc 96-02835 Name of Respondent Michael L. Edwards

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allen Goodman, IRA 96-02834 Name of Respondents A.G. Edwards & Sons, Inc. Joseph Carbia CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 2, 1996, Claimant Allen Goodman, personal representative of the Allen Goodman Individual Retirement Account ("IRA"), who appeared Pro Se, all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank H Black dba Robert Thomas Sec. 96-02833 Name of Respondent Daniel L. Glazier CASE SUMMARY In a case filed with the National Association of Securities DeaJers Regulation, Inc. on July 1, claimant Frank H. Black d/b/a Robert Thomas Securities ("Frank Black") through their representative Frank H. Black alleged that Daniel L,

N.A.S.D. AWARD ' NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul J. Pfeilsticker 96-02826 Name of Respondent Christopher S. Channer CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 28, 1996, claimant Paul J. Pfeilsticker ("Pfeilsticker"), who appeared pro se, alleged that Chris Channer ("Channer") a broker with The Chicago Corpo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Ronald Biscaro, Michael Boyd, James DeFrancisco, Raymond Laney, Eugene Rexwinkle, Steven Doyle, Richard Zagardo, Kenneth Ingram, Michael Boyd, Bruce Hink, Ronald LaFrance, Robert OKeefe, Alan Sacks, Thomas Zajac, Nicholas Cortazzo, Rodney L. Edmonds, David Hoffman, Ralph E. Kendrick, Jr, Stephen and Linda Knopp, Alton R. Killon, Martin A. Lieberman, Ken

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rita Aken as Trustee, of the Fruscalzo-Aken Family Trust 96-02825 Name of Respondents LaCroix Alexander Financial Corporation GPS Consulting Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on July 1, 1996, claimant Rita Aken, as Trustee of the Fruscalzo-Aken Fam