rlYHJLJ rtKOI Ift-ttl IV1H IJI 1^ l£J.,&£UUU.LUOtn" £.1 t AVIARP NASD Arbitration No. 95-00119 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (si L . Paul Zankich Name pf Respondent fs) Bear Stearns & Company, Inc, ' . Sterling Foster & Company, Inc. REPRESENTATION For Claimant; L. Paul Zankich, Seattle, Washington For Respondents: Shannon L* McDougald, Esq., Keesal, Young &

M.A.S.D. AWARD NATIONAL ASHQCTATTOW OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant: (si Shirley A. Robinson Name of_Respondent\s} Robert W, Kendrick Reynolds Kendrick Stratton, Inc. NASD Arbitration No- 95-00118 RBPRgSENTATION For Claimant: John W, Barnes, Esq., San Francisco r California For Respondent Robert W, Kendrick: Robert Friese, Esq., Snartsis, Friese & Ginsburg, San Francisco,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03776 Henry O. Fuchs, Claimant vs. John J. Melville, Respondent. ATTORNEYS: Claimant appeared Pro Se, Fairfax, VA. Respondent appeared through Gary R, Irwin, Vice President and Group Counsel, American Express Financial Advisors, Inc., Minneapolis, MN. DATE FILED: August 29, 2000. CASE SUMMARY: Claimant alleged Respondent failed to timely transfer IRA accounts awarded to him by

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Lois M. Wahle Claimant NASD Arbitration No. 95-00116 American Investors Company Cass Candell Respondents) OF PARTIES Lois M. Wahie ("Claimant 11 ) was represented by Morton Levy, Investor Advocates, Emeryville California. American Investors Company ("Respondent") was represented by David S. Markun, Esq., Zelle & Larson, Sa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J. Edmund & Co. Case# vs. 95-00113 Name of Respondents Robert Todd Financial Corp. Robert Fallah REPRESENTATION For Claimant, J. Edmund & Co., John E. Ligums, President of J. Edmund & Co. For Respondents, Robert Fallah, President of Robert Todd Financial Corp., Mark J. Astarita, Esq. of Gusrae, Kaplan & Bruno, located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Mark B. Fink 95-00110 Name of Respondents) Securities America, Inc. REPRESENTATION For Claimant Mark D. Fink: F. Robert Slotkin, Esq. of the law firm of Wilson, Strickland & Benson, Atlanta, Georgia. For Respondent Securities America Inc.: Susan Smith Jones, Esq. of the law firm of Pursley, Howell, Lowery & Meeks, Atlant

NASD AWARD In the Matter of the Arbitration Between Bell Sports Corp., Claimant, v. No. 95-00108 Wesley D. Tate, and Smith Barney Shearson, Inc., nka Smith Barney Inc., Respondents. REPRESENTATION OF PARTIES Bell Sports Corp. ("Claimant") was represented by Howard Ross Cabot, Esq., of Brown & Bain, Phoenix, Arizona. Wesley D. Tate ("Tate"), and Smith Barney Shearson, Inc. nka Smith Barney Inc. ("SB") (collectively referred to as "Res

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Cash O. Davenport, Claimant, v. No. 95-00107 Paine Webber Incorporated, Respondent. REPRESENTATION OF PARTIES Cash O. Davenport ("Claimant") was represented by Joseph D. Shepard, m, Esq., of Camahan , Evans, Cantwell & Brown, P.C., Springfield, Missouri. PaineWebber Incorporated ("Respondent") was represented by William R. Golden, Esq., of Ke

NASD Arbitration No. 9S.-00105 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Mame , of Claimant fa) Jon C. Colbert Name of Respondent (s) Marketing One, Inc. Marketing One Securities, Inc. North Island Federal Credit Union REPRESEMTATTQM For Claimant: Laura K. Kail, Esq., San Diego, California For Respondents Marketing One, Inc. and Marketing One Securities, Inc.: Stephen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. Feeney 95-00104 Name of Respondents Bryn Mawr Investment Group, Inc. Richard M. Muhlberg REPRESENTATION Claimant James J. Feeney ("Claimant 11 ) was represented by Anthony J. Horn, Esq., Philadelphia, PA Respondents Bryn Mawr Investment Group, Inc. ("BMIG") and Richard M. Muhlberg ("Muhlberg") were repr