NASD Regulation, Inc. A>vard In the Matter of Arbitration Between Estate of Jean Rogers, Claimant, and No. 97-04764 Cindy Kolb, Respondent. REPRESENTATION OF PARTIES Claimant, Estate of Jean Rogers (decedent hereinafter referred to as "Rogers"), was represented by Will R. Wilson, Jr., Esquire of Wilson & Varner, L.L.P., located in Austin, Texas. Respondent, Cindy Kolb, was represented pro se during these proceedings, but did not appear a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04761 Bruce Bryant, claimant vs. American Investment Services and Peter Boylan respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se. - East Peoria, IL. For Respondents appeared Brad Wells - East Peoria, IL. DATE FILED: 9/30/97 CASE SUMMARY: Claimant alleged failure to execute, negligence and breach of fiduciary duty in the trading of common st

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Kurt Novey and ISN, Inc. Claimant, and No. 97-04759 Barren Chase Securities, Inc. Respondent REPRESENTATION OF PARTIES Claimants, Kurt Novey and ISN, Inc., ("Claimants"), was represented by Robert L. Yeager, Esquire of the Law Offices of Robert L. Yeager of Dallas, Texas. Respondent, Barren Chase Securities, ("Respondent" ), was represented by Eugene M. Kennedy, Esq. of the

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James L. Anderson, and 97-04744 Name of Respondents Piper Jaffray, Inc., Garner A, Mabry, III REPRESENT A TION OF PARTIES James L. Anderson, ("Claimant") was represented by John R. Augustine, Esq!, Law Offices of John R. Augustine, Jr., Phoenix, Arizona. Piper Jaffray, Inc. ("Piper"), Garner A. Mabry, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott W. Juetten, Claimant v. Sterling Foster & Company, Inc. and Michael L. Vogt, Respondents Case Number: 97-04743 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni Youtz Meyer & Spoonemoure Seattle, Washington For Respondent Sterling Foster & Compa

'" JUN. 1.1998 7=59RM NfiSD REGULATION PL NO.£49 P.4 \ N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Scott & Stringfellow, Inc. 97-04738 Name of Respondent Rondald L. Wheet REPRESENTATION For Claimant: Frank A. Lightmas, Esq. of the law firm of Lightmas & Delk, Atlanta, Georgia. For Respondent: AlIanR, Holmes, Esq. of the law firm of Gibbs & Holmes, Charleston,

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David A. Yungkau and 97-04737 Name of Respondent and Third Party Claimant Ross, Sinclaire & Associates, Inc. Name Of Third Party Respondent HD Brous & Company, Inc. REPRESENTATION OF PARTIES David A. Yungkau ("Claimant") was represented by David B. Wechsler, Esq., Wechsler & Bursky, LLP, New York, New York. - - Ross, Sinclaire & Associate

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Haverhill Fireman's Relief Association (Claimants) vs. World Invest Corporation and Steven Parent (Respondents) vs. Steven Parent, David Turner and Edward F. Kennedy, Jr. (Third-party Respondents) Case Number: 97-04735 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Haverhill Fireman's Relief Association, hereinafter referred to as "Claimant": Russell S. Ch

NASD AWARD NASD Regulation, Inc. ' In the Matter of the Arbitration Between Name of Claimant Robert H. Sebastian Case Number and 97-04733 Name of Respondent David P. Heath REPRESENTATION OF PARTIES Robert H. Sebastian ("Claimant") appearedpro-se. For David P. Heath ("Respondent") appeared R. Daniel Beale, Esq. of the law firm Long Aldridge & Norman, located in Atlanta, Georgia. CASE INFORMATION Claimant filed the Statement of Cla

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants James A. Botten a/k/a Jim Botten & MaryJean Botten JTWROS, James Botten, TTEE, J. Botten Co. Profit Sharing Trust, James Botten, Attorney-in-Fact, Isabell C. Botten and 00-02284 Minneapolis, Minnesota Name of Respondents Cressida Capital, Inc. f/k/a Norfolk Securities Corporation Nicholas A. Briganti Jean H. Gupta Michelle A. Castelli Marquis