NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 99-03263 Louis Spore and Marcia Spore, Claimants vs. Jeffrey Jones and Oak Duke, Respondents. ATTORNEYS: Claimants Louis Spore and Marcia Spore, ("Claimants") appeared through Louis Spore, Kearny NJ. Respondent, Jeffrey Jones, ("Jones"), appeared Pro Se., Tampa, FL. Respondent, Oak Duke, ("Duke"), appeared Pro Se., Sarasota, FL. DATE FILED: July 19, 1999 CASE SUMMARY: Claimant all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant(s) Michael H. Schaffer Case No. 92-02412 Name of Respondents) Ronald R. Friedel Claimant, Michael Schaffer ("Schaffer"): was pro &. For Respondent: Ronald R. Friedel ("Friedel"): Morgan Bentley, Esq. of the Law Offices of Morgan Bentley, Esq. CASE INFORMATION Statement of Claim filed: July 21, 1992 and amended November 18, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Names of Claimants __ Louise M. Bergen Leonard A. Bergen TTEES 92-02411 Names of Respondents Shearson Lehman Brothers, Inc. Rick Ban Claimants, Louise and Leonard Bergen were represented by Roger C. Decker, Esq. of Kempton, Jarvis, Decker, Jenkins & Walker, Mesa, Arizona. Respondents, Shearson Lehman Brothers, Inc. and Rick Ban were r

N.A.S.D. AW AID NATIONAL ASSOCIATION OF SECURITIES DEALERS la tteMwertf the Aitrttittwc Between Cfeeoaot R. «od Saodm 8. Bdca 91-02409 b « ckim filed wttft tte N«fcMl Aaocfasim of SMUftki Dtatlen, Inc. ONASZT) onluly zl, Mtt, Cbfawnto Santo S.Bok* wdOucnceX. Bole*, Jr. ("Bolea"), who tppcved CJJUB libfKL ttat Stntttoa Oilno«t, inc. (*Sattn ") nd fl» Baipaadear Steve Cohem CCobee'), anampk>ywof ftntton «oda to them. AAttrwod a < ^ and » high ptManwaal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Schou Case No.: 94-03356 Name of Respondent Smith Barney Shearson, Inc. Name of Third Party Respondent Donald Zucker REPRESENTATION For Claimant, Michael Schou ("Schou"): Robert Miller, Esq. of Muskat, Odessky, Miller, & Schuh, P.A. of North Miami, Florida. For Respondent, Smith Barney Shearson, Inc. ("Smith Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Stanley C. and Emily Konowicz 94-04716 Name of Respondents Legg Mason Wood Walker, Inc Robert Carmines REPRESENTATION For Claimants Stanley C. Konowicz & Emily Konowicz (the "Konowiczes"): Russell L. Forkey, Esq., of Russell L. Forkey, P.A., Fort Lauderdale, Florida. For Respondent/Cross-Claimant Legg Mason Wood Walker, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Burnham J. Nash and 92-02404 Name of Respondent^ Prudential Securities. Inc. and Greg Fulton REPRESENTATION OF PARTIES Burnham J. Nash ("Claimant") was represented by Steven W. McDonald, Esq. of Brenman, Raskin, Friedlob & Tenenbaum. P.C., Denver, Colorado. Prudential Securities, Inc. and Greg Fulton ("Respondents") w

N./LSJX AVABD O SECURTny; nFAT.T«; INC. In the nutter oi the Arbitration Between Wtiter A. and Kaico Hefner Oppcobcuner Be Co n Inc. Charks C Boflard Staccmcm of Clatm filed: July 20, 1992 Ckoinaats' Subzoution Agreement ^fg"*^* JtUj 29, 1992 Joint Sucement of Answer tiled: September 24, 1992 Respondents' Sabausnon AgPBBmcnc yignff^* iietfner ft Co.: September 24, 1992 Bdlazd: None submitted. Prt-hearing telephone conference date

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Brian and Barbette Niles 92-02402 Name of Respondents S.D. Cohn & Co., Inc. Wertheim Schroder & Co., Inc. H. August Perotti Michael F. Dura Charles Sullivan Lewco Securities Wertheim Schroder Holdings CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Dorothy E. Roe Claimant CASE #92-02401 AWARD vs. Piper Jaffray Inc. Bruce G. Allen Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1992, Claimant Dorothy E. Roe who appeared Pro Se, alleged that Respondent Piper Jaffray, Inc.. through it's registered repres