AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants James R. and Donna J. Bouma 97-03820 Name of Respondents Oppenheimer & Co., Inc.; and Theodore E. Williams REPRESENTATION For Claimants: James R. Bouma and Donna J. Bouma ("Bouma") were represented by Rosemarie J. Guadnolo, Esq. of Horvath & Lieber, P.C., located in Chicago, Illinois. For Respondents: Oppenheimer & Co., Inc. ("Oppenheimer") and Theodor

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Arthur L. Dozier, III and Betty P. Dozier, JT, TEN., and " Case Number 97-03817 Names of Respondents Daniel Porush, Steven P. Sanders, and Bonnie Vandenberg. REPRESENTATION OF PARTIES Arthur L. Dozier, III and Betty P. Dozier, JT. TEN., (hereafter collectively referred to as "Claimants") were represented by Frank Pinedo of Frank Pinedo & Associates, loc

AWARD N.A.S.D. Regulation, Inc. NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Shawn and Holly Griffith, Claimants, NASD No. 97-03815 R.D. White & Co., Inc. and Scott Adam Brander, Respondents Representation Claimants Shawn and Holly Griffith ("Griffiths'*) were represented by Tracy Pride Stoneman, Esq. of Susemihl & McDermott, P.C., located in Colorado Springs, Colorado. Respondent R.D. White

•JUN. 9.1998 9=29fiM NflSD REGLJLflTION FL NO. 977 p.B N,A.S,D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name Isaac Erenburg 97-03814 Names of jQsephthal Lyon & Ross, Inc. Mark Ford For Gaimant: David A. Coven, Esq. of David A. Coven, P.A., Fort Lauderdale, Florida, For Respondents Josephthal Lyon & Ross, lac. C'JosephthaT) and Mark Ford ("Ford"): John Bersin, Esq. of Josephthal Ly

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Christopher Wilson and 97-03812 Name of Respondent FBS Investment Services, Inc. REPRESENTATION OF PARTIES Christopher Wilson ("Claimant") was represented by John Tackett, Esq., Minneapolis, Minnesota. FBS Investment Services, Inc. ("Respondent") was represented by Catherine A. Gnatek, Esq., Dorsey & Whitney, L.L.P., Minneapolis

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between i < Name of Claimants JohnPivonka Lorraine Pivonka John H. Pivonka Trust Lorraine L. Pivonka Trust and 97-03809 Name of Respondents Kay Copley E.F. Hutton & Company, Inc. Prudential Securities, Inc. Robert Thomas Securities, Inc. Investment Centers of America D. E. Frey & Company, Inc. REPRESENTATION OF PARTIES John Pivonka, Lorraine Pivonka, Joh

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant James Witkowski v. Arbitration No. 97-03808 Name of Respondents H.J. Meyers & Co., Inc. and Jason Smith REPRESENTATION For Claimant: James Witkowski In Pro Per Lakewood, California For Respondents; Paul J. Delmore, Esq. Simpson, Delmore & Lee San Diego, California CASE INFORMATION S

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Levon N. Kesh, and Isabella M. Kesh, Claimants. v. No. 97-03807 Roney & Co., and Lihua Dishman, Respondents. REPRESENTATION OF PARTIES Claimants Levon N. Kesh and Isabella M. Kesh ("Claimants") appeared pro se. Respondents Roney & Co. and Lihua Dishman ("Respondents") were represented by Jean-Vierre Adams, Esq. of Honigman Miller Schwart

NO.S84 P.42 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names nf Claimants Richard A. Frueh and Donald J. Gunn, Jr. NASD CASE NO. 97-03804 Names of Respondents Kilkenny & Associates, Inc. d/b/a WJ. Gallagher & Co., Inc., William J. Gallagher and Robert W, Kendrick REPRESENTATION For Claimants: William J. Schifino, Jr., Esq. and Kenneth G. Turkel, Esq. of Williams, Reed, Weinstein, Schifino & Mangione,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02142 Gary Kobrosky and Glen Kobrosky, claimants vs. Putnam Mutual Funds Corp., respondent. ATTORNEYS: Claimants appeared Pro Se through Gary Kobrosky, New York, NY. For Respondent appeared David Boch, Esq., of the firm Bingham Dana, LLP, Boston, MA. DATE FILED: May 22, 2000 CASE SUMMARY: Claimant alleged respondent was negligent and provided misinformation to the claimants regardi