N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURTTTFS DEALERS. INC. In the matter of the Arbitration Between Name nf Claimant Murphy Favre, Inc., a Washington corporation and Member Firm, NASD Arbitration No. 94-03560 Name of Respondents Robert A. Johnson, II, individually and on behalf of his marital community; Richard C. Bliggenstorfer, individually and on behalf of his marital community; and D.A. Davidson & Co., a Member Firm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Isminy Cagos 94-03559 Names of Respondents Gail G. Giiseuk (Gentry) T.E.I. Strategies, Inc. Southwest Securities Houston Investment Group REPRESENTATION For Claimant, Isminy Cagos ("Cagos"): Brian Lowe of Investors Arbitration Services, Inc., of Woodland Hills, Califonua. For Respondent, Gail G. Giiseuk (Gentry) ("G

Award NASD In the Matter of the Arbitration Between: Name of Claimant Robert R. Bourg Names of Respondents David O. DiFilippo Morgan Keegan & Company, Inc. Case Number: 01-05130 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Robert R. Bourg ("Claimant"): Kirk Reasonover, Esq., Lamothe & Hamilton, P.L.C., New Orleans, Louisiana. For David O. DiFilippo ("DiFilippo") and Morgan Keegan & Company, Inc. ("Morgan Keegan"

94-03557 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf^) Chaman Gupta Name of Respondentfs) Bear .Stearns Securities Corp. Stratton Oakmont, Inc. Kenneth J. Fuina Jordan A. Belfort Kenneth S. Greene Daniel M. Porush REPRESENTATION For Claimant, Chaman Gupta ("Claimant"), Ralph A. Gant, Esq. located in New York, N.Y. For Respondents, Bear Stearns Securites

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ann S. Davis, Claimant, and No. 94-03553 William Everhart, Respondent. REPRESENTATION OF PARTIES Claimant Ann S. Davis ("Claimant") was represented by Jef6y M. Bauer, Esquire of Grosse Pointe, Michigan. Respondent William Everhart ("Respondent") appeared pro se. Respondents Dean Witter Reynolds, Inc. and Vanguard Capital entered into a settl

NASD Arbitration No. 94-03551 N.A.fi.D. AWARD NATIONAL ASSOCIATION OF SECURITTW.q DEALERS. INC. In the matter of the Arbitration Between Nanif^ nf rlaTmantifs) Robert A. Fahn Name nf Respondentfs) Charles Schwab & Co., Inc. Mark Rastello MPUgflBMTATIQN For Claimant: Robert A. Fahn, Malibu, California For Respondents: Margaret E. Welbom, Esq., Charles Schwab & Co., Inc., San Francisco, California CASE imrOBMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Xing Jiang 94-03543 Schneider Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Sq)tember 1, 1994, Claimant Xing Jiang, who appeared Pro Se, alleged that Respondent Schneider Securities, Inc. made a misrepresentation to induce him to purchase a stock. Claimant further alle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS t In the Matter of the Arbitration Between Name of Claimant Jamos Lube Management Inc. 94-03541 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Scott Saad CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 1, 1994, Claimant Jamos Lube Management, Inc. ("Claimant"), through its representative Bill Johnson, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of die Arbitration Between Name of Claimant Corporate Securities Group Inc. 94-03540 Name of Respondent David Henry Stern CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 1, 1994, Claimant Corporate Securities Group Inc. ("Claimant"), through its representative and in-house counsel, Gregory Tendrich, alleged that Respon

N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 94-03539 Name of Respondent David Coreen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on S^tember 1, 1994, Claimant, Corporate Securities Group, Inc., through its representative and in^ouse counsel, Gregory Tendrich, Esq., alleged that Respondent David