N.A.S.D. AWRRD ASSOCXATXCN OP SEJCDRTTIES DEMERS In the Matter of tba Arbitration Between Walter A. and Marie T. Ungehajer v 90-01453 Drake retail Securities diaries Monica For Claimant: Jamas C. Krause, Esq. - Reniche & Xrause For Respondents Drake Capital Securities - Michael D. Drrahne - Sbaub, Williams, Regan & Walls For Respondentt Charles Monica - In Fro Se CJtfB TWfl Statement of Claim filet M»y 22, 1590 Statement of Answer fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration F..-'tween IJame of Claimant (s) Steven I. Friedman Nancy A. Friedman NASD Arbitration No. 93-00866 Name of Respondent. (s) Shearson Lehman HUE.LUU, Inc. Kenneth South For Claimants: Paul N. Young, Securities Arbitration Group, Inc., Marina del Rey, California For Respondents: Stephei; Y~""o. Esq. ana William J. Bridgen, Esq., Keesal,

—__ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harv L. Jeppsen vs. NASD #93-01030 of Respondents Piper, Jaffray & Hopwood, Inc. Don J. Laiidn George A. Barker For Claimant: David W. Scofield, Esq., Parsons, Davies, Kinghom & Peters of Salt Lake City, Utah For Respondents: Donald L. Dalton, Esq., Van Cott, BagJey, Cornwall & McCarthy of Salt Lake City, Utah CASE INFORMATION S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02253 Michael R. Hensley, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: For Claimant, Michael R. Hensley ("Claimant"), appeared Tracy Pride Stoneman, Esq. of the firm Tracy Pride Stoneman, P.C., Colorado Springs, CO. For Respondent, E*Trade Securities ("Respondent"), appeared Bob Salvador, in-house counsel for E*Trade Securities, Palo Alto, CA.

N . A . S . D . AWARI? NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between of Gopalakrishnasastry Balasubramani Lai it ha Balasubramani Krishna Balasubramani NASD Arbitration No. 93-04017 Name of Respondent Cs) Fidelity Investments REPRESENTATION For Claimants: Gopalakrishnasastry, Lalitha and Krishna Balasubramani, Temecula, California For Respondent: James T. Hannink, Esq., Gray Gary Ware &

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between GERTRUDE SIE, GERTRUDE SIE, TRUSTEE, GERTRUDE SIE LIVING TRUST; WILLY DE BOER, and WILLY DE BOER, TRUSTEE, WILLY DE BOER LIVING TRUST, Claimant*, v. NASD No. 93-1665 MERRILL LYNCH PIERCE FENNER & SMITH. INC., and ASHBY JONES. Respondents. Representation For Claimants: Jeff. Ferentz, Esq., Keith Hollis, Esq. and Richard Nervig, Esq. of Greenb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Carol R. Naoum 95-00529 Name of Respondent(s) Bear Stearas Securities Corp Steven D. Wyman Joseph C. Visconti Michelle Hutchinson REPRESENTATION For Claimant, Carol R. Naoum ("Naoum"): Carol R. Naoum ("Pro Se"). For Respondents, Steven Wyman ("Wyman"), Joseph Visconti ("Visconti"), Michelle Hutchinson ("Hutchi

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen and Patsi McClaran Claimants NASD Arbitration v. No. 96-01227 Stratton Oakmont, Inc., James T. Kelly, John Squeri and Jordan R. Belfort Respondents REPRESENTATION OF PARTIES Stephen and Patsi McClaran ("Claimants") was represented by Ralph Gant, Esq., New York City, New York. Stratton Oakmont, Inc., James T. Kelly, John Sq

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joseph Barberio Case No. vs. 97-00455 Names of Respondents First Albany Corporation Steven Lleras John Tubman REPRESENTATION Claimant Joseph Barberio appeared pro se. For Respondents First Albany Corporation ("First Albany"), Steven Lleras ("Lleras") and John Tubman ("Tubman"), hereinafter collectively referred to as "Respondents," appeared Brian Mu

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. v. Name of Respondent Wendell L. Baker Arbitration No. 97-02556 REPRESENTATION For Claimant: For Respondent: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answer filed by Respondent: Respondent's Submission Ag