NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Leonardo Dishman 97-01236 Names of Respondents Bear Stearns & Company David Snyder REPRESENTATION For Claimant Leonardo Dishman ("Claimant") appeared Richard L. Burnstein, Esq. of the law firm Fernandez, Burnstein & Tuczinski, P.C. located in Albany, New York. For Respondents Bear Stearns & Company ("Bear Stearns") and David Snyder ("Snyder"), hereinaft

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Janney Montgomery Scott Inc. NASD Case No. 97-01235 Hearing Location: New York, NY Name of Respondent William Jay Roseman REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott, Inc. ("Claimant"): Joseph J. Dougherty, Esq., West Chester, Pennsylvania. Respondent William Jay Roseman ("Respondent") did not appear. CASE INFORMATION Statement of

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: H.J. Meyers & Co., Inc., (Claimant) vs. Jeffrey Dendy, (Respondent and Cross-Claimant) vs. HJ. Meyers & Co., Inc. (Claimant and Cross-Respondent) and Paul Garvey (Cross-Respondent). Case Number: 97-1227 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant and Cross-Respondent, H.J. Meyers & Co., Inc. ("HJ. Meyers' 1 ): Represented in bankruptcy by Lucien A. Morin

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between $ f Name of Claimant Alexander Caraway 97-01226 Name of Respondents Barbara J. Williams MONY Securities Corporation REPRESENTATION OF PARTIES For Alexander Caraway: Steven M. Green, Esq., Law Firm of Steven M. Green, San Diego, California. For Barbara J. Williams: Steven A. Micheli, Esq., Chapin, Fleming & Winet, San Dieg

NASD Regulation, Inc., Stipulated Award In the Matter of Arbitration Between Gerald P. Dietz and Alice Simms Dietz, Claimants, and No. 97-01224 Olde Discount Corporation and Michael Reay Walters, Respondents. REPRESENTATION OF PARTIES Claimants, GeraldP. Dietz and Alice Simms Dietz ( (i theDietzes") were represented by A.P. Murrah, Jr., Esquire, of Phillips, McFall, McCaffrey, McVay & Murrah, P.C-, located in Oklahoma City, Oklahoma.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul Elias, Edward Kashou, Steven Kashou, Merna Kashou. Ashraf Asaad and Cynthia Asaad, Claimants v. E*Trade Securities, Inc., Respondent Case Number: 00-01848 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Anton N. Randal, Esq. Laurie L. Largent, Esq. Handal & Associates San Diego, California For Respondent: Mark T. Drooks, Esq. Th

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01220 Carolyn A. French, claimant vs. McDonald & Company Securities. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Chillicothe, OH. For Respondent appeared in-house counsel, Henry V. Kerr, Esq., Cleveland, OH. DATE FILED: March 10, 1997. CASE SUMMARY: Claimant alleged that respondent failed to abide by court order and disbursed monies out of her r

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01217 Jeanne R. Schaeffer, claimant vs. Richard Barrett, respondent. ATTORNEYS: Claimant appeared Pro Se, Santee, CA. For Respondent appeared G. Mark Brewer, Esq., of the firm Brewer & Carlson, L.L.P., La Jolia, CA. DATE FILED: March 10, 1997. CASE SUMMARY: Claimant alleged that she was pressured into purchasing mutual funds which were risky and in vio

AWARD NASD REGULATION. INC In ihe matter of the Arbitration Between Name of Ciairmmus) William L. Campbell Maureen P. Campbell Name of Respondents) La Jolla Securities Corporation James Heinzman Marshall Klein Crissy Come REPRESENTATION For Claimants: William L. Campbell Rocklin, California For Respondents: Lu Jolla Securities Corp.: Marshall KJein: Paul J. Del more, Esq. Simpson Delmore & Lee San Diego. C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-01211 Thomas Hickey, claimant vs. Rondo Hosang and Jeff Vanblarcom, respondents. ATTORNEYS: Claimant appeared Pro Se, Ramsey, MN, Respondent Rondo Hosang is deceased according to notification received from the Post Office and is therefore removed as a respondent. Respondent Jeff Vanblarcom did not respond to the Statement of Claim. DATE FILED; March 10, 19