NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Harold E. Debona 97-04406 Name of Respondents Bear Stearns & Company Albert J, Sabini REPRESENTATION For Claimant Harold E. Debona ("Debona") appeared James M. Reilly, Esq., of the law offices of Herzog Engstrom & Koplovitz, P.C., located in Albany, New York. For Respondents Bear Stearns & Company ("Bear Stearns") and Albert J. Sabini ("Sabini' 1

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02251 Daniel and Patricia Marchi, claimants vs. Advest, Inc., respondent. ATTORNEYS: For Claimants appeared Paul M. DeCarolis, Esq., of the firm Gottesman and Hollis, P. Nashua, NH. For Respondent appeared in-house counsel, Lee Kuckro, Advest, Inc., Hartford, CT. DATE FILED: May 30, 2000 CASE SUMMARY: Claimants alleged that respondent erred in the processing of Claimants' Roth

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Benjamin John Goslin, Individually and as Custodian for Darcus Ann Goslin v. Name of Respondents La Jolla Capital Corporation, B.J. Gallison, and Daniel Winter Arbitration No. 97-04404 REPRESENTATION For Claimant: For Respondent Daniel Winter: Howard Bennett Hellen, Esq. Law Offices of Howard B. Hellen San Diego, California In Pr

Arbitration No. 97-04402 AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant-fs) Jerry L. Ivy, Jr." Name of Respondentfs) Smith Barney Inc. Ernest A. Burgess REPRESENTATION For Claimant: John P. McLaughlin, Esq., Bauer Moynihan & Johnson, Seattle, Washington For Respondents: Sean J. Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: September

NASD REGULATION, INC. AWARD MARLENE L. EAKMAN-HERBST, vs. LUTHERAN Claimant, BROTHERHOOD § § § § § § Case No. 97-04400 SECURITIES CORP. and JIM ODLAND, § § Respondents. § STIPULATED AWARD 1. Representation of Parties Claimant, Marlene L. Eakman-Herbst, represented herself in this proceeding. Respondents. Lutheran Brotherhood Securities Corp. and Jim Odland, were represented by A, Ross Rommel, Jr. of Andrew

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Barry D, Snyder Zes, Inc. 97-04398 Name of Respondent Janney Montgomery Scott Inc. REPRESENTATION Claimant Barry D. Snyder ("Snyder") and Zes, Inc. ("Zes") were represented by Thomas F. McKeown, Esq., Pittsburgh, PA. Respondent Janney Montgomery Scott, Inc. ("Respondent") was represented by Foster S. Goldman, Jr.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants "7"" "" Case Number- 01-06593 Steven F. McShafrry ~- Harry and Rose Karavan Name nf the Respondents Hearing Site: Philadelphia, PA A.G. Edwards & Sons, Inc. Michael B. O'Hare RF.PRFSF.NTATTON OF PARTIES Claimants, Steven F. McShaffry ("McShaffry") and Harry and Rose Karavan (the "Karavans"), hereinafter collectively referred to as "Claima

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants James L. Duffield, Jr. and Jeanette L. Duffield, Trustees of the Western Air International Defined Benefit Plan Dated 12/11/97 and 01-06592 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. Craig Williams REPRESENTATION OF PARTIES James L. Duffield, Jr. and Jeanette L. Duffield, Trustees of the Western Air International Defined Bene

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06586 Robert Escobio Claudio Salazar Christopher Sweeney Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Nature of the Dispute: Associated Person vs. Member Firm. REPRESENTATION OF PARTIES For Robert Escobio ("Escobio"), Claudio Salazar ("Salazar"), and Christopher Sweeney ("Sweeney"), hereina

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Raymond H. Rebeck, Rosalyn S. Rebeck, Raymond H. Rebeck, Trustee for the Raymond H. Rebeck MPP Plan, Raymond H. Rebeck and Roslyn Rebeck, Co-Trustees of the Ray & Roz Rebeck MPP Plan, Raymond H. Rebeck IRA, and Rosalyn Rebeck IRA and Case Number: 01-06578 Hearing Site: Southfield, Michigan Names of Respondents Prudential Securities, Inc., an