AWARD NASD Regulation, Inc. CASE: 97-05378 Robert Lovell, claimant vs. Euro-Atlantic Securities. Inc., Nicholas Mormando, Neil Brauner, Robert Carlin and David Mehllo, respondents. ATTORNEYS: Claimant appeared Pro Se., Springfield, Illinois. Respondent Euro-Atlantic Securities, Inc., did not appear. Respondent Nicholas Mormando did not appear. For Respondent Neil Brauner appeared Michael Ference, Esq., of the firm, Lampert & Lampert, New York, N

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William G. Allen and 97-05377 Name of Respondents Christopher Pridemore Kelly, and J.C. Bradford & Co. REPRESENTATION OF PARTIES William G. Allen ("Claimant") was represented by James P. McCrocklin, Esq., Louisville, Kentucky. Christopher Pridemore Kelly ("Kelly"), and J.C. Bradford & Co.("JCB")(jointly referred to as "Respondents") was represented

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Dorene Lee f/k/a Dorene Nulph Arbitration No. 97-05371 Name of Respondent fsl First Security Investor Services, Inc. Joseph Cooney Dennis R. Van Duren REPRESENTATION For Claimant: Randall R. Heiner, Esq., Salt Lake City, Utah For Respondents: A. Robert Thorup, Esq., Ray, Quinney & Nebeker, Salt Lake City, Utah CASE INFORMATION Sta

NATIONAL ARBITRATION OF SECURITIES DEALERS. INC. ARBITRATION DEPARTMENT DEAN DUNCAN, ) CASE NO. 97-053 66 ) ) STIPULATED AWARD vs. ) ) CORTORATE SECURITIES GROUP, ) INC. AND MICHAEL LEVENTIS, ) ) Respondents. ) Jn or about November 1997, Claimant Dean Duncan commenced tils action against Respondents Corporate Securities Group, Inc. ftnd Michael Leventis. Claimant is represented by Robert S. Boulter, while Respondents are represented

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: PaineWebber, Inc. (Claimant) vs. Barton Neal McLaughlin, (Respondent). Case Number: 97-05361 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, PaineWebber, Inc. ("PaineWebber"), hereinafter referred to as "Claimant": Sandra Grannum, Esq., PaineWebber, Inc., Weehawken, New Jersey. Respondent, Barton Neal McLaughlin ("McLaughlin'*), hereinafter referred to as "Respondent"

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Rolland Voeller and 97-05359 Name of Respondent Bishop Allen, Inc. Doyle Randall ElieMullel Tim Carroll REPRESENTATION OF PARTIES Rolland Voeller ("Claimant") was represented by Randall H. Steinmeyer, Esq., Reinhardt & Anderson, St. Paul, Minnesota. Bishop Allen, Inc. ("RespondentBishop") did not file responsive pleadings or appear at the hearing.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dale K. Jacobson and 97-05358 Name of Respondent Meyers Pollock Robbins, Inc. Bear Stearns Securities Corp. Michael Cilmi REPRESENTATION OF PARTIES Dale K. Jacobson ("Claimant") was represented by Thomas R. Sheran, Esq., Moss & Bamett, Minneapolis, Minnesota. Meyers Pollock Robbins, Inc. ("Respondent MPR") was represented by Louis H. Miron, Esq.,

AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimantfs) Jerry Brownstein Name of Respondent(s) Smith Barney Inc. Brian Decker Arbitration No. 97-05357 REPRESENTATION For Claimant: Philip R. Shucklin, P.S., Bellevue, Washington For Respondents: John P. Bevilacqua, Esq., Smith Barney Inc. , New York, New York CASE INFORMATION Statement of Claim filed on or about: November 7, 1997 Amended Stat

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Frank Tenteromano 97-05355 Name of Respondent Francis A. Lupo REPRESENTATION Frank Tenteromano ("Claimant") appeared pro se. Francis A. Lupo ("Respondent") appeared pro se. CASE INFORMATION Claimant filed the Statement of Claim on November 6, 1997. Claimant signed the Uniform Submission Agreement on January 21, 1998. Respondent filed the Stateme

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joan Jessup and Judy A. Gustafson, Claimants v. Waddell & Reed, Inc. and Timothy Van Lohuizen, Respondents Case Number: 00-02351 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Scott W. Reed, Esq. Coeur d'Alene, Idaho For Respondent Waddell & Reed, Inc.: Anthony J. Durone, Esq. Berkowitz, Feldmiller, Stanton, Brandt, Williams & Shaw, LLP