AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter ofthe Arbitration Between Jearme K. Barber, Clmmant, and No. 95-05953 Oppenheimer & Co., Inc. and Steven Gibson, Respondents, Claimant Jeanne K. Barber was represented by Richard C. Hile, Esquire, Sole Practitioner, located in Austin, Texas and by J. Hope Peacock, Esquire of Orgain, Bell & Tucker located in Beaumont, Texas. Respondents Oppenheimer & Co., Inc. and Stephen Gi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 95-05963 Name of Respondents Dan Umamato and Rodney Oroku CASE SUMMARY * In a claim filed with the National Association of Securities Dealers, Inc. on December 21, 1995 Claimant Pmdential Securities, Inc., ("Claimant") through its representative, Steven P. Gomberg, Esq., of Gomber, Kane & Fischer,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter ofthe Arbitration Between Pmdential Securities, Inc. Claimant NASD Arbitration V. No. 95-05973 Larry Lasch Respondent REPRESENTATTON OF PARTTES Pmdential Securities, Inc. ("Claimant") was represented by Michael A. Kraft, Esq., Gomberg Kane & Fischer, LTD., Chicago, Illinois. Larry Lasch ("Respondent") represented himself pro se. CASE INFORMATTON Claimants Stateme

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Sledge W.Killion, Claimant, and No. 95-05997 Metropolitan Life Ins. Co., Metlife Securities, Inc., Robert J. Crimmins, Richard Norbert Maurer, William L. Goggans, James K. Higgins, Donald F. Henderson, and Kevin Finnegan, Respondents. REPRESENTATION OF PARTTFS Claimant, Sledge W. Killion, was represented by Cari D. Adams, Esquire of Carl D. Adams,

N.A.S.D.R, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Malcolm Family Tmst vs. NASDR Arbitralion No.95-05999 Name of Respondent Smith Barney, Inc. REPRESENTATION For Claimant: Kenneth Prochnow, Esq., and Richard Schwartz, Esq., Palo Alto, Califomia. For Respondent: Ellen Slipp, Esq., Smidi Baraey, Inc., New York, New York. CASE INFORMATION Statement of

N,A,S>P> AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s'\ M. Roy Wilson, M.D,, individually and as Trustee ofthe M. Roy Wilson, M.D. Money Purchase Plan and the M. Roy Wilson, M.D. Profit Sharing Plan NASD Arbitration No. 95-05924 Name of Respondent(s^ Pmdential Securities, Inc., First Montauk Securities Corp., Robert Neil Cheatham aka R. NeU Cheatham REPRESENTATION For Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles Kenneth Pickett 95-05911 Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimant, Charles Kenneth Pickett ("Pickett"): William C. Ballard, Esq., of Fisher & Sauls, P.A., St. Petersberg, Florida. For Respondent, Prudential Securities, Inc. ("PSI"): Kathy M. Klock, Regional Counsel, PSI, Boca Raton, F

AWARD NASD REGULATION. INC OFFICE OF DISPETE RESOLUTION in the matter of the Arbitration Between Name oi' Claimant Wedbush Morizan Securities V. Name of Respondent Patrick Gavncr Arbitration No. 95-05853 For Claimant: REPRESENTATION .'Xrmcn Sebastian Wedbush Morgan Securities Los Anscles. Califoniia For Respondent: Mitchell C. Green. Fsq, Law (!)tTiceN of.lohn M. Boyko Torrance. C\ditbrnia CASE INFORMAUON Statem

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Domestic Securities, Inc. All-Tech Investment Group, Inc. 95-05898 Name of Respondent Instinet Corporation REPRESENTATION Claimants Domestic Securities, Inc. ("DS") and All-Tech Investment Group, Inc. ("ATIG") were represented by Morgan W. Bentley, Esq., Newark , NJ. Respondent Instinet Corporation ("Respondent") was rep

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Keith Jennings and Gro Jennings, (Claimants) vs. Lowell C. Schatzer, Mark V. Antonucci, Todd W.L. Hedge and Mark Mancino, (Respondents). Case Number: 95-05869 Hearing Site: San Francisco, Califomia. REPRESENTATION OF PARTIES For Claimants: William P. Torngren, Esq., Sacramento, Califomia For Respondent Todd W.L. Hedge: Represented himself. For Respondent Lowell C. Schatzer