NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Shirley F. Drogin 97-05746 Name of Respondent William M. Ornstein REPRESENTATION For Claimant Shirley F. Drogin ("Claimant") appeared Susan F. Drogin, a sole practitioner with offices located in Boston, Massachusetts. For Respondent William M. Ornstein ("Respondent") appeared David Smith, Esq., of the law offices of Smith Campbell & Paduano located in N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Al Brasuell Thomas W. Childs, IV James and Tonya Florence Ray Landrum Sharon Newton Linda Newton Ken Newton Michael and Hansa Parikh Joey and Stephanie Smith I.O.M. Limited Omega Securities Case No. 97-05745 Name of Respondent i Prudential Securities, Inc. I REPRESENTATION OF PARTIES For Claimants Al Brasuell ("Brasuell

AWARD NASD REGULATION, INC In the Matter of Arbitration Between G. Roland McAbee (as Beneficiary of his IRA Account) and George Roland McAbee & Lelia McAbee {as Joint Tenants) , Claimants, 97-05744 v. H.J. Meyers & Co., Inc., James A. Villa and Gary C. Liddicoat, Respondents. REPRESENTATION OF PARTIES Claimants, G. Roland McAbee {as Beneficiary of his IRA Account) and George Roland McAbee & Lelia McAbee (as Joint Tenants),("Claimants

No. 95-05761 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Samuel A. Miller Revocable Living Trust U/A/D/ 8/15/90, Samuel A. Miller, Trustee, Claimant, Rajeev Das, Muriel Siebert & Co., and National Financial Service Corp., Respondents. REPRESENTATION OF PARTIES Samuel A. Miller Revocable Living Trust U/A/D/ 8/15/90, Samuel A. Miller, Trustee ("Claimant") was represented by Samuel A.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Judy Hatch-Colaizy and 97-05741 Name of Respondent John G. Kinnard and Company, Inc. Jeffrey C, Marttila REPRESENTATION OF PARTIES Judy Hatch-Colaizy ("Claimant") was represented by Randall H. Steinmeyer, Esq., Reinhardt & Anderson, P.A., St. Paul, Minnesota. John G. Kinnardand Company,Inc. ("RespondentKinnard") was representedby Ted Meikle.Esq., Me

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants E. Tate Handle and Gail G. Randle and Case Number 97-05738 Names of Respondents Lew Lieberbaum & Co., Inc. n/k/a First Asset Management, Inc. William Winters, Mark I Lew, Sheldon Lieberbaum, Leonard Neuhaus and David Weintraub and Names of Third-Party Claimants Lew Lieberbaum & Co., Inc. n/k/a First Asset Management, Inc. Mark I Lew,

t Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott B. Moffett, Claimant Vs. Kevin Sueo Yoshikawa and Legg Mason Wood Walker, Inc. Respondents. Case Number: 00-02582 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Scott B. Moffett, hereinafter referred to as "Moffett" was represented by Jack G. Wheeler, Esquire of the Firm, Fraser, Morris & Wheeler, L.L.P. located in Lake Charle

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Nabil S. Malek, M.D. Profit Sharing Plan and Trust 97-05735 Name of Respondents EverenSecurities,Inc.; and Lawrence D. Bain REPRESENTATION For Claimant: Nabil S. Malek, M.D, Profit Sharing Plan and Trust ("Malek") was represented by Nabil S. Malek, of Pepper Pike, Ohio. For Respondents: Everen Securities, Inc. ("Everen") and Lawrence D. Bain ("Bain")

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants James A. Turek & Diane Turek 97-05730 Name of Respondents. Christopher Lee Miano; Roland Imre Greenspan; Elliott Gayer; PCM Securities Limited LP; and Daniel Ortega, REPRESENTATION For Claimants: James A. Turek and Diane L. Turek ("Turek") were represented by John A. Dienner, IH, Esq., of Kubasiak, Cremieux, Fylstra, Reizen and Rotunno, P.C., l

a*/12/00 IVED 09:24 fAl NASD REGULAl'lON ®002 Award r^ASD Regulation, iriC. In the Matter of the Arbitration Between: Tirst Southwest CoiTipany. (Claimant) vs. Waldron & Co. inc, Aubry-Perle Holding, }nc.» Jon Aubry, Edward F. Harris, Cery Perfe, Jonathan D. Wolf, Lee Root, Georgia French (Respondents). Case Number 38-04289 Hearing Site: Dallas, Texas REPRESENTATION Qf PARTIES Claimant, Firat Southwest Company ("Claimant"), Cheryl J. Moore, Esq.,