AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between • Name of Claimants Cesar and Leonor Maderazo and 99-05125 Scottsdale, Arizona Name of Respondents Piper Jaffray, Inc. n/k/a U.S. Bancorp Piper Jafray, Inc. Vincent H. Rossi REPRESENTATION OF PARTIES Cesar and Leonor Maderazo ("Claimants") were represented by Richard G. Himelrick, Esq., Tiffany & Bosco, Phoenix, Arizona. Piper Jaffray, Inc. n/k/a U.S. Bancor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05124 American Fronteer Financial Corporation f/k/a RAF Financial Corporation, claimant vs. Ronald J. Zabriskie, respondent. ATTORNEYS: For Claimant appeared Carla B. Minckley, Esq. and Thomas D. Birge, Esq., of the firm Birge & Minckley, P.C., Denver, CO. Respondent appeared Pro Se, Rockville, MD. DATE FILED: November 15, 1999 CASE SUMMARY: Claimant alleged that respondent fai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Micki Delp and the Micki Delp IRA Guarantee & Trust Co., Claimants v. Hanmi Securities, Inc., Eul Hyung Choi, Jin U. Lee, and Jay S. Lee, Respondents Case Number: 00-05540 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents Hanmi Securities, Inc. and Eul Hyung Choi: For Respondent Jin. U. Lee: For Respondent Jay S. Lee:

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05112 Michael J. Salkind, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Mel Vogel and Adam Schoesler, Respondents. ATTORNEYS: Claimant, Michael J. Salkind, ("Claimant"), appeared Pro Se, Cleveland Heights, OH. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Merrill Lynch"), Mel Vogel ("Vogel") and Adam Schoesler, ("Schoesler"), (collectively "Respondents"), appe

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Leonard Beare and Cora Beare (Claimants) vs. J.W. Barclay & Company, Inc., Ehab Shalaby, and Edgar Alacan (Respondents) Case Number: 99-05099 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Claimants, Leonard Beare and Cora Beare ("Beare") hereinafter collectively referred to as "Claimants" were represented by Hans Huang, Esq. of Maupin, Taylor & Ellis, P.A. locate

Award NASO Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karl J. Keffler, (Claimant) vs. A.G. Edwards & Sons, inc. (Respondent). Case Number: Hearing Site: 99-05093 St. Louis Missouri REPRESENTATION OF PARTIES Claimant, Karl J. Keffler, hereinafter referred to as "Claimant": Karl J. Keffler, Pro Se, St. Louis, Mo. Respondent, A.G. Edwards & Sons, Inc., hereinafter "Respondent": Nuviah Shirazi, Esq., A.G. Edwards & Sons, Inc.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Davis Selected Advisers, L.P., Davis Distributors, LLC, and Venture Advisers, LP (Claimants/CounterRespondents) vs. Raymond O. Padilla (Respondent/CounterClaimant) Case Number: 99-05091 Hearing Site: Santa Fe, New Mexico REPRESENTATION OF PARTIES Claimants Davis Selected Advisers, L.P., Davis Distributors, LLC, and Venture Advisers, hereinafter collectively referre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., Claimant vs. Brent Lydell Moore, Respondent. Case Number: 99-05088 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds, Inc., (hereinafter referred to as "Claimant"): Kenneth C. Mennemeier, Esq., Mennemeier, Classman & Stroud, LLP, 980 9 th Street, Suite 1700, Sacramento, CA 95814. Respondent, Brent L

Award NASD Dispute Resolution. Inc. lo the Matter of the Arbitration Between: Tucker Anthony Incorporated. (Claimant) vs. Joseph J. Atiotta (Respondent) Case Number: 99-05084 Hearing Sire: New York. New York REPRESENTATION OF PARTIES Claimant. Tucker Anthony Incorporated, hereinafter referred to as "Claimant 1 .: Karl L. Marquardt, Esq., Dressier. Amery & Ross. P.C.. New York, NY, Respondent. Joseph Alioita, hereinafter referred to as "Responden

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05082 Lucien L. Bass, III, claimant vs. Dean Witter Reynolds Inc., d/b/a Morgan Stanley Dean Witter, respondent. ATTORNEYS: For Claimant Lucien L. Bass, III ("Claimant"), Reginald F. Combs, Esq., Blaco Tackabery Combs & Matamoros, P.A., Winston-Salem, NC. For Respondent Dean Witter Reynolds Inc., d/b/a Morgan Stanley Dean Witter ("Respondent"), Paul G. Tho