AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy A. Mauch, Robert E. Smith and James D. Smith (JTWROS), and Robert E. Smith and Annette M. Smith (JT TEN) and 96-02062 Name of Respondent Miller Johnson & Kuehn, Inc. Brent Ripley REPRESENTATION OF PARTIES Dorothy A. Mauch, Robert E. Smith and James D. Smith (JTWROS), and Robert E. Smith and Annette M. Smith (JT T

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Alex Weber Violet Weber Claimant(s) NASD Regulation, Inc. v. No. 96-02060 Smith Barney, Inc. Brad Backes Respondent(s) REPRESENTATION OF PARTIES For Claimants: Charles S. Ferguson, Esq., Seattle, Washington For Respondents: Eric D. Lansverk, Esq., Hillis Clark Martin & Peterson Seattle, Washington CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dubl I Investments 96-02058 Name of Respondent Pacific Brokerage Services, Inc. Jason Wallace James (Mike) Kruger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1996, Claimant Dubl I Investments ("Claimant") through its representative, Ivan Tobias, Partner, alleged tha

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Chilcott Entertainment Corporation and 96-02057 Name of Respondents John G. Kinnard and Company, Inc. Arthur Obermeier Alex. Brown & Sons Incorporated REPRESENTATION OF PARTIES Chilcott Entertainment Corporation ("Claimant") was represented by Thomas, R. Bromberg, Esq., Brenman Key & Bromberg, P.C., Denver, Colorado. Joh

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Frank W. Simms, III Name of Respondent Prudentiai Securities, Inc. 96-02054 REPRESENTATION Claimant Frank W. Simms, ni ("Claimant") was represented by James P. McCrocklin, Esq., Louisville, KY. Respondent Prudential Securities, Inc. ("Respondent") was represented by William W. Allen, Esq., Lexing

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02067 Ameritrade, Inc., claimant vs. Rick Lee Jakobsen, respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE. Respondent did not submit a response to the Statement of Claim. DATE FILED: April 24, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the unsecured debit balance on his account. Claim Data Award Data

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimant Jeanne Claire McBride 96-02053 Name of Respondent Kurt Owen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1996, Claimant Jean Claire McBride (hereinafter referred to as "Claimant"), who appeared Pro Se, alleged that based on the recommendation of a friend, she, a novice inves

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Christine Morrison Claimant, v. Case Number 96-02046 Craig Zvonar and JB Oxford & Co. Respondents. REPRESENTATION OF PARTIES Claimant Christine Morrison ("Claimant") appeared pro se. Respondents Craig Zvonar ("Zvonar 11 ) and JB Oxford & Co. ("JB Oxford") (collectively referred to as "Respondents") were represented by Jeffrey Kob, Esq. o

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Father Jerome G. Gerum and Verna Marie Miller, Claimants, and Peter D. Ziegler and Peter I Krause, Respondents. or APRS 8199? No. 96-02043 REPRESENTATION OF PARTIES Claimants Father Jerome G. Gerum ("Father Gerum") and Verna Marie Miller ("Miller") (collectively referred to as "Claimants") were represented at the hearing by Father Jerome

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Frederick Morton Woolley v, Name of Respondents Titan/Value Equities Group, Inc. NASD Regulation, Inc. Arbitration No. 96-02041 For Claimants: REPRESENTATION Sheldon M. Jaffe, Esq. Gartenberg, Jaffe, Geifand & Stein Los Angeles, California For Respondents: David W. Studley, Esq. Law Offices of David