AWARD N'ASi) Regulation. inc. Office of Dispute Resolution In the Matter of the \rhiirauwi Joyce H. Smith. Claimant. \. No. 95-03617 Morgan Keegan &. Company Uu- . John Martin & Marcus S. t'hilders. RKPUKSKiNTATION OF PARTIES Claimant Jo>ce II. Smith ("Claimant") u;is represented by James Reharehak of Miller. Hamilton. Snider & Odom located in Mohile. Alabama. Respondents Morgan Keeuan A, t'oinpany, inc. ("Morgan Keeiian"). John Maiiiii ("Ma

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant De Anza National Bank v. NASD Regulation. Inc. Arbitration No. 95-03615 Name of Respondents Robert Colvin and RAF Financial Corporation REPRESENTATION For Claimant: Montgomery G. Griffin. J.D. Law Offices of Jeff Dennis Fereruz Newport Beach, California For Respondents: James Rollin Miller, Esq. Paul R. Wood. Es

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Leonard E. Weller, and Barbara P. Weller Claimants, v. No, 95-03613 Prudential Securities, Inc., and Scott Kurth, Respondents, REPRESENTATION OF PARTIES Claimants Leonard E. Weller and Barbara P. Weiier were both represented by Alfred J. Gemrich, Esquire of Gemnch, Moser, Bowser & Lohrmann located in Kalamazoo, Michigan. Respondent Prudentia

NASD Arbitration No. 95-03610 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Farallon Capital Partners, L.P. Name of Respondent(s) M.J. Whitman, Inc. Chicago Partnership Board, Inc. REPRESENTATION For Claimant: Brian S. Fraser, Esq., Richards Spears Kibbe & Orbe, New York, New York For Respondent M.J, whitman, Inc. : Brian Zagon, Esq., Keesal, Young & L

Oct-06-2003 Q8:19am From-NASDA DISPUTE RESOLUTION T-G94 P.002/OOS F-667 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel R, Sniegowski IRA, Claimant v. Fidelity Brokerage Services, Inc,, Respondent Case Number: 01-01922 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Daniel R. Sniegowski Los Angeles, California For Respondent: i W. Douglas Kari, Esq. ! Orrick, Harrington & Sutchlifie LL

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George K. Baum & Company, Claimant, v. No. 95-03604 Risdan DePaul Kasper, Respondent. George K, Bauni & Company ("Claimant") was represented by W. Perry Brandt, Esq. and Anthony Durone, Esq. of Stinson, Mag & Fizzell, Kansas City, Missouri. Risdan DePaul Kasper ("Respondent") was represented by Lee M. Smithyman, Esq., of Smithyman & Zakoura,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of The Arbitration Between Name of Claimant Harvey & Company, Inc. 95-03603 Name of Respondents Eli Dror Biltmore Securities, Inc. REPRESENTATION Claimant Harvey & Company, Inc. ("Claimant") was represented by Janet K. DeCosta, Esq., Law Offices of Janet K. DeCosta, P.C., Washington, D.C. Respondents Biltmore Securities, Inc. ("BiltmoTe")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert S. & Patricia Davis 95-03601 Name of Respondents The Wellington Group, Inc. Vision Investment Group, Inc. Alex Lemberg Kevin Kading REPRESENTATION For claimants Robert S, and Patricia Davis ("claimants") appeared David Crystal, II, Esq., of Gilbride, Tulsa, Last & Spellane LLC, located in New York, New York.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Sharif Amanat, Custodian/Omar Amanat 95-03599 Name of Respondent's) H. J. Meyers & Co., Inc. Rizwan Mahmood REPRESENTATION For Claimant, Sharif Amanat, Custodian/ Omar Amanat ("Claimant"), appeared Henry K. Becker, Esq. of the law firm Henderson & Becker located in Chicago, Illinois. For Respondent H.J. Meyers & Co., Inc

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant David E. Warwick Case No. vs. 95-03594 Name of Respondents Steven R. Cloyes Robert Todd Financial Corp. REPRESENTATION For Claimant, Javid E. Warwick ("Claimant"), Jack Bryan Little, Esq. from the Law Offices of Jack Bryan Little, P.C,, located in Boston, Massachusetts. Respondent, Robert Todd Financial Corporation ("Robert Todd"), did not appear at