FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gerald Gudmonson, u Claimant, v. No. 96-02158 Olde Discount Corporation, John Zabrocki, Lance Ziesemer, and David Wood, Respondents. REPRESENTATION OF PARTIES Claimant Gerald Gudmonson ("Claimant") was represented by Rebecca E. Bender, Esq. of Law Offices of Rebecca E. Bender, P.A. located in Minneapolis, Minnesota. Respondents

AWARD NASD REIIA1N INC.. OFFICE OF DISPUTE In the matter of the Arbitration Between Grace M. Binkley Trust, F M . Binkley, Trustee v. Arbitration No. 96-02154 Smith Bentm & Hughes, Inc. Jon P. Martin MOceZaman REPRESENTATION For Claimant: F.M. Binkley, Berkeley, California For Respondents Smith Beaton ft Hughes, Inc., and MikeZaman: Douglas Vining, Esq., Law Office of frying Einhom, Los Angeles, California Respondent Jon P. Marti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert H. Francis Revocable Living Trust 96-02153 Name of Respondents Smith Barney, Inc. William Russell REPRESENTATION For Claimant: Steele T. Williams, Esq. and Richard W. Groner, Esq. of the law firm of Groner & Schieb, Sarasota, Florida. For Respondent Smith Barney, Inc.: Nicole Felton, Esq., in-house counsel at Smith B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fhft Claimants rqspTsJmnViPr' 01-02084 Doris Kay Steele; Margaret Davis ; Paralee Kortis; James Harrod; and Kris Steele nf fop-. flpspfYpHsnts Hfipring Sit?' Oklahoma City, Oklahoma Morgan Stanley DW, Inc.; James Wood; and William Link PF.PPff.SF. TTOTNJ OF Claimants Doris Kaye Steele ("Kaye Steele"), Margaret Davis ("Davis"), Paralee Kortis, (Kortis)

s I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth A. Buecker 96-02152 Name of Respondents David Lavender Kevin Williams CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1996 claimant Kenneth Bueckner ("claimant"), who appeared Pro Se, alleged that on February 19, 1996, he purchased 50 units of Thermo-Miz

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant John J. Carr 96-02149 Name of | Respondents Joseph Roberts & Co. Rooz Eftekari REPRESENTATION For Claimant John J. Carr {"Claimant") appeared Michael McClaren, Esq. of the law firm of Falk & Siemer, LLP located in Buffalo, New York. For Respondent Joseph Roberts & Co. appeared John C. Corrigan,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth W. Cauwet 96-02148 Name of Respondents Prudential Securities, Inc. Leland Levy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 15,' Claimant, Kenneth W. Cauwet ("Claimant"), who appeared Pro Se, alleged thatin August he consulted Respondent Leland Levy ("Levy"), an empl

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Anthony lannolo 96-02138 Name of Respondents Pacific Brokerage Services, Inc. James R. Kruger CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on May 17, 1996, claimant Anthony lannolo ("claimant"), who appeared Pro Se, alleged that on May 17, 1995 he

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Melva J. Lack and Dawn D. Buckley, Claimants, and No. 96-02135 Signal Securities, Inc. and Jerry K. Lack, Respondents. REPRESENTATION OF PARTIES Claimants, Melva J. Lack and Dawn D. Buckley, were represented by Steven K. Terry, Esquire of Terry & Newsom, L.L.P., located in Dallas, Texas. Respondent, Signal Securities, Inc., was represented by Robert

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant { s). Robert Parker La Deane Parker Arbitration No. 96-02131 Name of Respondent(s) Annandale Securities, Inc. Bruce G. Clark Michael M. Markow REPRESENTATION For Claimants: Timothy A. Canning, Esq. , The Sapiro Law Firm, San Francisco, California For Respondent Annandale Securities, Inc.: Mark Anderson, Annandale Securities, Inc., Los An