Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gary W. Haynie, Claimant v. Nina Swartz, Thomas K. Henningsen, James No and Scottrade, Inc., Respondents. Case Number: 00-02240 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: In Pro Per 545 Sobrato Drive Campbell, CA 95008 For Respondents: Tom Douglass, Esq. Thompson Coburn, LLP One Firstar Plaza St. Louis, MO 63101 CASE INFORMA

N.A.S.D. REGULATION AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Larry A. Berman 94-05452 Berkeley Securities Corp. William Baquet REPRESENTATION Claimant Larry A. Berman ("Claimant") appeared pro se. Respondents Berkeley Securities Corp. ("Berkeley") and William Baquet ("Baquet") were represented Ezio Scaldaferri, Esq., Feder, Kaszovitz, Isaacson, Weber, Skala & Bas

N.A.S.D. AWARD HATIOKM. ASSOCIATIOM OP SBCORITIES DEALERS in the Mat:ter of tne Arbitration Between Name of gla|||^^T,< -.= Thoaas & Eileen Bolick 94-05462 Name at BesT>»n^^p4-o Bear Stearns & Company Burnett Grey & Co., Inc. Enunett A. Larkin Co., inc. Mayfair Securities Ltd. Adam Gilinan First Mew England Securities Corp. Respondent Burnett srey s Co., inc. ("Burnett Grey") aid not appeer —W>.?^a Respondent Mayfair Secu

N.A.S.D. AWARD MATIOtOIi ASSOCIATION OF SSCORITISS DEALERS In tihe Matter of the Arbitration Between S^pe of < ;:^^^man^ Edward M. Faraht n' 94-05467 Name of RaBPondent Piper Jaffray, inc. REPRBSEim&TIOlI The Claimant, Edward M. Farsht, was represented by Paul W. Chamberlain, Esq., of Chamberlain, Neaton & Johnson, located in Wayzata, Minnesota. The Respondent, Piper Jaffray, Inc., was represented by Mark S. Reed, Esq.,' Corporate C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Liu Sha Lee and Li Sha Ma Lee and 94-05520 Name of Respondent Thomas James Associates, Inc. Mark Motazedi REPRESENTATION OF PARTIES Liu Sha Lee and Li Sha Ma Lee ("Claimant") was represented by Thomas E. Kelley, Esq. and Laura A. Dixon, Esq., Restock & Kelley, Denver, Colorado. Thomas James Associates, Inc. ("Respondent")an

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tbe Matter of the Arbitration Between Name of Claimant Jack D, Udey CASE NO. vs. 94-05519 Name of Reapondents Smith Barney Shearson, Inc. Eric M. Koter REPRESENTATION Claimant, Jack Utley, appeared pro se. For Respondents, Smith Barney Shearson, Inc ("Smith Barney") and Eric Koter ("Koter"), Ann Parry, Esq., in-house counsel. CASE INFORMATION Statement of Claim filed

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Golden Mae & Edward R. Palmatier 94-05493 Name of Respondents Smith Barney Shearson, Inc. A.T. Brod &. Co., Inc. Robert Barberis Jeffrey Ward Jones First Montauk Securities, Inc. Saperston Financial Inc. Thomas M. McDermott Michael T. Murphy REPRESENTATION For Claimants Golden Mae Palmatier and Edw

NASD Arbitration No. 94.-05492 y.A.g.D. AWARD NATIONAL ABSQCIATIQtr OF SEgtmiTIES DEALERS. INC. In the matter of the Arbitration Between Warns nf rialmant: fal William Jefferson & Co., Inc. Name of Reei;>QnHant (s 1 Yaeger Securities, Inc. Norma Yaeger David N. Mahler RgPRBflgMTATIQW For Claitnant: William A. Kent, Esq., Irvine, California For Respondents Yaeger Securities, Inc. and Norma Yaeger: Richard C. Pali, Woodland Hills, Ca

94-05481 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEOJIUTIES DEALERS In the Matter of the Arbitration Between Mark J. Grant ^.mftnfResDondentfS> Josepfadul Lyon &, Ross Inc. HEPRESENTATION For Claimam Maik gram ("Grant"): Marie Wasserstrom, Esq. of tiie law office of Marie Wasserstxom, Kansas City, Missouri. For Respondent Jos^hthal Lyon and Ross ("Josephthai"): Robert Muiphy, Esq. of Josephtiial. VrA^ INTOHMATIONf Statement of Claini filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Nadeem Najafi 94-05469 Name of Resoondents Thomas James Associates Roy Thomas REPRESENTATION Claimant Nadeem Najafi ("Claimant") was represented by Debra G. Speyer, Esq., Philadelphia, PA. Respondent Thomas James Associates ("TJA") was represented by James C. Cosby, Maloney, Yeatts & Barr, Richmond, VA. Respondent Roy Th