M.A.g.D. AMARD NATIONAL ASSOCIATION OF SECDT?TTTRB DEAT.ER5 . TMr In the matter of the Arbitration Between Name of Claimantfg) Erik K. Szeto Yuen Fai Chan /"l' © National Association ot Securities Dealers, inc. AHRightsReserved NASD Arbitration No. 95-03028 Name of Respondent, (s) Richard Sands Brothers & Co., Ltd. pEgRBSSNTATION For Claimants: Michael J. Francis, Esq. and William H. Caffee, Esq., Dunn, Carney, Allen,

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. v. Name of Respondent William J. Gordica REPRESENTATION For Claimant: Arbitration No. 95-03027 For Respondent: Terry Ross, Esq. and Linda A. Loftus, Esq. Keesal, Young & Logan Long Beach, California H. Thomas Fehn, Esq. and Gregory J. Sherwin, Esq. Fields, Fehn & Sherw

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f _ -, - £ National Association of Name of Claimant Sccurilies ^^ Inc. Oscar Ortega Perez and Jose Antonio Ortega Perez All Rights Reserved and NASD CASE NUMBER 95-03023 Name of Respondent Smith Barney, Inc. REPRESENTATION OF PARTIES Claimants, Oscar Ortega Perez and Jose Antonio Ortega Perez, were represented by Ross Spence, Esq. o

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Silvia M. Bell Name of Respondents A.G. Edwards & Sons, Inc. Harry H. Dietrich 95-03011 REPRESENTATION For Claimant Silvia M. Bell ("Claimant"): Janet K. DeCosta, Esq. of the Law Offices of Janet K. DeCosta, P.C., Washington, D.C. For Respondents A.G. Edwards & Sons, Inc. ("Edwards") and Harry H. Dietrich

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Sarah A. Flick, Claimant, and No. 95-02963 First of Michigan Corporation and Thomas C. Oakes, Respondents. REPRESENTATION OF PARTIES Claimant Sarah A. Flick ("Claimant") did not appear at the hearing and was unrepresented. Claimant was previously represented by James A. Zitsman, Esq. of Columbus, Ohio, Robert Karoly of Securities Arbitrati

STIPULATED AWARD NASD In the Matter of the Arbitration Between Names of Claimants Case Number: 01-00987 Debra Kelly Elliott and Timothy W. Elliott Names of Respondents Hearing Site: Memphis. TN Wade Nolan Giddens Legacy Securities Corp, REPRESENTATION OF PARTIES For Debra Kelly Elliott and Timothy W. Elliott ("Elliott"), hereinafter collectively referred to as "Claimants": Fred M. Acuff, Jr., Esq., Humphreys Dunlap Wellford Acuff & Stanton,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra Robinson vs. 95-02917 S.D. Cohn and Co., Inc. Sidney David Cohn REPRESENTATION Claimant Sandra Robinson appeared pro se. For Respondent, S.D. Cohn & Co., Inc. and Sidney David Cohn, appeared Charles M. O'Rourke, Esq., sole practioner, Garden City, New York. CASE INFORMATION Statement of Claim filed on June 14, 19

AWARD NASDR Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Edwin Troy Hawkins and Case Number 95-02894 Prudential Securities, Inc., John M. Rhoades, Kevin J. OTriel, Kent Varner, Joe Nittolo, et al. REPRESENTATION OF PARTIES Claimant Edwin Troy Hawkins ("Claimant") was represented by Joe B. Abbey, Esq. of the Law Offices of Joe B. Abbey, located in Dallas, Texas and Dean Carlton, Esq. of the Law Offices of Dea

..MfiR. 9.1999 3:02PM NASD REGULfiTIQN FL NO,286 P.10/18 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of che Arbitration Between Name of Claimant Garrick A. Gustafson 95-02891 Names of Respondents Alexander Jones Anthony Hammond Vadira Mostovoy Baraban Securities, Inc. Tamaron Investments, Inc. Thomas Russell Curtis Charles F. Kirby REPRESENTATION Claimant Garrick A. Gus

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Don A. Moore and Katherine Moore, Claimants, and No. 95-02876 C. Reed Carr, Aragon Financial Services, Inc., Douglas Lyman Lish, and Robert Lane Myer, Respondents, REPRESENTATION OF PARTIES Claimants Don A. Moore and Katherine Moore were represented by Walter T. Weathers, Jr., Esquire of Houston, Texas. Respondents C. Reed Carr, Aragon Finan