Award NASD Regulation, Inc. In the Matter of tiie Arbitration Between: Dennis Kennelly and Pat Kennelly, Claimants vs. US Bancorp Investments, Inc., and Charles Roland Wilmot, Sr., Respondents. Case Number: 98-04641 Hearing Site: Seattle. WA REPRESENTATION OF PARTIES Dennis Kennelly and Pat Kennelly, (hereinafter collectively referred to as "Claimants"): Lawrence R. Cock, Esq., Cable, Langenbach, Kinerk & Bauer, LLP, 1000 Second Street Avenue Buildi

Award NASD Regulation, Inc. In the Matter of tiie Arbitration Between: Everen Securities, Inc., Claimant vs. David F. Widner, Respondent. Case Number: 98-04638 Hearing Site: Kansas City, Missouri REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc. ("Everen") was represented by Steven M. Malina, Esq., of Ungaretti & Harris, Chicago, Illinois. Respondent, David F. Widner ("Widner") was represented by George A. Barton, Esq., of Rasmussen, Barto

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: ., Michael Goodman, Claimant v. Mirco Teta and CIBC Oppenheimer & Co., Respondents Case Number: 98-04636 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: For Respondent CIBC Oppenheimer & Co. For Respondent Mirco Teta: Philip M. Aidikoff, Esq. Aidikoff & Uhl Beverly Hills, Califomia Daniel Greenstone, Esq. CIBC Oppenheimer Corp.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sue Yahnke, as personal representative of the Estate of Jewel R. Lough ^ Case No. 98-04629 Names of Respondents Salomon Smith Bamey Inc. Ole John Sorenson REPRESENTATION OF PARTIES For Claimant: William T. Kirtley, Esq. of William T. Kirtley, P.A., Sarasota, FL. For Respondents Salomon Smith Bamey Inc. ("Smith Bamey") and Ole John Sorenson (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dale Diamond and Antonia Diamond, Claimants v. The Harriman Group, Inc., a.k.a. HGI, Inc., Steven Hanna, John Bosco (a.k.a. Angelo John Bosco), Mark Hanna (a.k.a. Mark Arthur Hanna) and Brian Scanlon, Respondents Case Number: 98-04626 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: Michael A Bertz, Esq. Law Offices of Michael A. Bertz Los Angele

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. X In the Matter of the Arbitration Between MERRILL LYNCH, PIERCE, FENNER & SMITH INC., Claimant, -and- JENNIFERA.MARUCA and SALOMON SMITH BARNEY, INC. Respondents. NASD No. 98-04625 REPRESENTATION Claimant Merrill Lynch, Pierce, Fermer & Smith, Inc. ("Claimant") was represented by Thomas T. Loder, Esq. and Joseph A. Dougherty, Esq. of the law firm of Rubin &, Associa

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Linda Western and 98-04619 Kansas City, Missouri Name of Respondents Transamerica Financial Resources, Inc. Eldon Leroy Kariker Linda Western ("Claimant") was represented by Lynn K. Ballew, Esq., Harrisonville, Missouri. Transamerica Financial Resources, Inc. ("Respondent TFR") was represented by Jospeh C. Coates, III, Esq., Greenberg Traurig, W

Award NASD Regulation, inc. In the Matter of the Arbitration Between: Hayden L. Leason, Claimant vs. J. Robbins Securities, L.L.C, GHM, Inc., Joseph Glamanco, Sr., Joseph Giamanco, Jr., Barry Wayne Blank, Michael Joseph Hosey, Sr., and Nicholas A. Pasciatore. Respondents. Case Number: 98-04615 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, Hayden L. Leason, "Leason", hereinafter referred to as "Claimant", was represented by R

Award NASD Regulation, Inc. in the Matter of the Arbitration Between: APS Financial Corporation, (Claimant) vs. ISKCON of Houston, Inc. and Dr. R.K. Dhingra, (Respondents). Case Number: 98-04614 Hearinq Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, APS Financial Corporation, hereinafter referred to as "Claimant": David D. Sterling, Esq., Baker & Botts, LLP, Houston, Texas. Respondents, ISKCON of Houston, Inc. ("ISKCON") and Dr. R.K. Dhing

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vunapha Wanda Juatma, Claimant v. Barron Chase Securities, Inc., Christopher M. Lim, and Aram Minassian, Respondents Case Number: 99-03877 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Barron Chase Securities, Inc. For Respondent Christopher M. Lim: For Respondent Aram Minassian: Richard J. Edson, Esq.