N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant David A. Gingras 96-01251 Name of Respondents Equitable Life Assurance Society of the United States Equitable Variable Life Insurance Co. Equico Securities, Inc. Raymond Barry Charles R. Datres James H. Houck Mark A. Swartz George W. Karr, Jr. REPRESENTATION Claimant David A.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jeffrey Leston 96-01249 Name of Respondents American Stock Transfer Co. National Financial Services Corporation REPRESENTATION Claimant Jeffrey Leston ("claimant") appeared Pro Se. For respondent National Financial Services Corporation ("National Financial") appeared Michael G. Shannon, Esq. of t

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Jeff and Kendra Moede V. 01-01184 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., George F.Stahmerm, Jeffrey W. Hendley, Hendley / Stahmer Group, Jones / Hendley / Stahmer Group, and Thomas J. Klucsarits REPRESENTATION OF PARTIES Jeff and Kendra Moede ("Claimants") were represented by Kenneth B. Siegel, Esq., of Sherman &

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No. 96-01248; Award Page 1 of 5 NASD Regulation, Inc., Award In the Matter of Arbitration Between Richard Hittte, Claimant, and No. 96-01248 Texakoma Financial, Inc., Texakoma Oil & Gas Corporation, Dean R. Kennedy, Scott D. Kennedy and Richard J. Kennedy, Respondents. ; REPRESENTATION OF PARTIES > Claimant, Richard Hittle ("Kittle") was represented by G. David Westfall,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jean Wickland 96-01242 Name of Respondents Smith Barney Inc. Roland F. Biegler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1996, Claimant Jean Wickland ("Claimant"), who appeared through her representative and counsel Carla B. Minckley, Esq., alleged that Respondents

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Star Mining Co., Inc., Five Star Mining Limited Partnership, Larry J, Hiatt and Laura Hiatt, and John M. Hiatt, Claimants, and No. 96-01241 Dain Bosworth & Co., Inc., and George K. Baum & Co., Respondents, REPRESENTATION OF PARTIES Claimants Star Mining Co., Inc., Five Star Mining Limited Partnership, Larry J. Hiatt and Laura Hiatt, and

N.A.S.D. AWARD / / NATIONAL ASSOCIATION OF SECURITIES DEALERS / la the Matter of the Arbitration Between Name of Claimant^ Margie Kolos 96-01240 Name of Respondent^ Gruntal&Co.,Inc. David M. Newman REPRESENTATION Claimant Margie Kolos ("Kotos") was pro sg, For Respondents Gmntal & Co., Inc. ("GruntaT) and David M. Newman ("Newman"): Scott Diamond, Esq. of Morgan, Lewis & Bockius, Miami, Fl. CASE INFORMATION Statement of Claim

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Basil E. Karampelas 96-01238 Name of Respondent Wasserstein Perella & Co., Inc. REPRESENTATION For claimant Basil E. Karampelas ("claimant") appeared Daniel E. Katz, Esq. of the law firm of Pressman & Associates located in New York, New York. For respondent Wasserstein Perella & Co., Inc. ("respondent") appeared Jill L. Rosenberg, Esq. of the law firm of Orrick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deborah Werrlein 96-01235 Name of Respondents Raymond James & Associates, Inc. William L. Specht REPRESENTATION For Claimant: Michael H. Alden, Esq. of the law firm of Fisher & Sauls, P. A., St. Petersburg, FL. For Respondents: Michael R. Alford, Esq., in-house counsel at Raymond James & Associates, Inc. ("Raymond James

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey G. Moore, TTEE/Maintenance Trust 96-01234 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimant, Jeffrey G. Moore, TTEE/Maintenance Trust ("Claimant"), appeared Steven D. Uslaner, Esq., of the law firm Littman, Krooks & Roth, P.C. located in New York, New York. For Respondent, Charles Schwab & Co