N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kenneth E. and Thelma E. Carpenter 94-02264 Name of Respondents Robert A. Breed Martin Arias William Badinelli CASE SUMMARY In a claim filed with thiTNational Association of Securities Dealers, Inc. on June 15, 1994, Claimants Kenneth E. and Thelma E. Carpenter, who appeared Pro Se, alleged that Respondents Robert A. B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara E. Monroe 94-02258 Name of Respondents Edward D. Jones & Co. Ronald David Bussey Kenneth William Boyd CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1994, Claimant Barbara E. Monroe, who appeared Pro Se, alleged that Respondents Ronald Bussey ("Bussey"), Kenne

AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant(s) Orlan E. Wood Arbitration NO. 94-02254 Name of Respondent(s) Terence J. Murphy Robert Den Herder REPRESENTATION For Claimant: Jack G. Orr, Esq., Harris, Mericle, Orr, Wakayama & Mason, Seattle, Washington For Respondent Robert Den Herder: Linda M. Deola, Esq., Reynolds, Motl, and Sherwood, Helena, Montana For Respondent Terence J. Murphy

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Homan Hamidi, Claimant, v. NASD No. 94-2253 Trigem Amerstock Corporation and Deepesh Patel, Respondents. Representation For Claimant: Pro se, Irvine, California For Respondent Trigem Amerstock: Irving Einhorn, Esq. of Einhom and Edgerton, Los Angeles, California For Respondent Deepesh Patel: Amy Peters, Esq. of Diamond Bar , California Case

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants M. Danny and Ellyn Levin 94-32248 Name of Respondent Stephen M. Hischier CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1994, Claimants M. Danny and Ellyn Levin, who appeared Pro Se, alleged that Respondent Stephen M. Hischier, made misrepresentations and did not properly ha

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name ofClaimant David Zapiler, individually and as Custodian for Sarah Zapiler and 94-02246 Name of Respondent Waiford&Co. REPRESENTATION OF PARTIES David Zapiler, individually and as Custodian for Sarah Zapiler ("Claimant") was represented by Marc H. Schtul, Esq., Isaacson, Rosenbaum, Woods, & Levy, P.C., Denver, Colorado. Walford & Co. ("Re

RECEIVED MEDIATION RECEIVED BEFORE THE ARBITRATION BOARD OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC TONY LOUKA AND BRENDA EVANS-LOUKA, ) NASD CASE NO. 94-02243 Claimants, ) AWARD vs. ) DEAN WITTER REYNOLDS INC. AND ) RICHARD NELSON, ) Respondents. ) DEAN WITTER REYNOLDS INC., ) Counter-claimant, ) vs. ) TONY LOUKA AND BRENDA EVANS-LOUKA, ) Counter-respondents. ) REPRESENTATION For Claimants and Counter

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between GUY MIALI, Claimant, v. NASD No. 94-2238 WESTMARK. SECURITIES CORPORATION and RONALD CATTO, Respondents. Representation For Claimant: Guy Miali of Bellinghara, Washington For Respondent: Ronald Catto of Westmark Securities, Santa Monica, California Case Information Statement of Claim filed: June 9, 1994 Claimant's Submission Agreement signed

N.A.S.D. AWARD fj NATIONAL ASSOCIATION OF SECURITIES DEALERS '. ,,. iOtli In the Matter of the Arbitration Between . ] i v& Name of Claimant — '~~- Martin Zides Award # vs. 94-02235 Name of Respondents David Sayib Jeff Nimberg Joseph Shevlin Mark Savoca REPRESENTATION Claimant, Martin Zides ("Claimant"), appeared pro se. For Respondents, David Sayib ("Sayib"), Jeff Nimberg ("Nimberg"), Joseph Shevlin ("Shevlin"), and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexander Patsenker 94-02226 Names of Respondents Piper, Jaffray & Hopwood, Inc. and Roman Gadaskin REPRESENTATION Claimant, Alexander Patsenker was represented by Paul W. Thomas, Esq. of The Law Offices of Paul W. Thomas. Carlsbad, California. Respondents, Piper Jaffray, Inc. and Roman Gadaskin were represented by Rebecca