NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Garth R. Zeigler, Claimant, v. NASD No. 94-840 Kidder Peabody, Inc., Michael O'Connell, Does 1 through 20, inclusive, Respondents. Representation For Claimant: Joseph Gibb, Esq., Indian Wells, California For Respondents: William Phelps, Esq. of Kidder Peabody, Los Angeles, California Case Information Statement of Claim filed: March 2,1994 Cl

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between • Rob Kimbrough, Glenn Mocek and Meleesa Mocek and NASD Case Number 94-00838 Oppenheiner & Company, Inc. and Kip Herriage REPRESENTATION OF PARTIES Claimants, Rob Kimbrough, Glenn Mocek and Meleesa Mocek, were represented by Gary S. Gunn, Esq. of Gunn & Holt, P.C. located in Houston, Texas. Respondents, Oppenheimer & Company, Inc. and Kip Herriage, w

X NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimant NASD Arbitration Laureen E. Lynch No. 94-00837 v. Name of Respondents Linsco/Private Ledger Corp. Marjorie Adams REPRESENTATION For Claimant: John L. Hilts, Esq., Irvine, California For Respondents: Paul I. Hamada, Esq., Keesal Young & Logan, Long Beach, California CASE INFORMATION Statement of Claim filed: March 3,1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimant Norman Tregenza 94-00836 Name of Respondents Steven Ropas J.W. Bullaid & Co. CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on March 4, 1994, Claimant Norman Tregenza, through his representative, Steven S. Weiss, Esq., New York, NY, alleged that Respondents J.W. Bullard & Co. ("Bolla

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Wheat First Securities, Inc. 94-00835 Name of Respondent Darrell Beahon REPRESENTATION For claimant Wheat First Securities, Inc. ("claimant") appeared Nicholas P. Vari, Esq. of the law firm of Kirkpatrick & Lockhart located in Pittsburgh, Pennsylvania. For respondent Darrell Beahon ("respondent") appeared Jon R. Perry, Esq. of the law firm of Betts & Perry locate

NASD Dispute Resolution x ISAC and SUZANNA COHN, Claimants, -against- SALOMON SMITH BARNEY and JEFFREY WINIK, Respondents. NASD-DR Arbitration No.: 01-02961 STIPULATED AWARD X REPRESENTATION The claimants were represented by Anthony J. Horn, Esq. located in New York, New York. Respondents Salomon Smith Barney and Jeffrey Winik were represented by Paul Giappone, Senior Vice President and Associate General Counsel of Salomo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00926 Patricia El Ladd, Claimant vs. Crowell, Weedon & Co., and R. Jacques Bellesisles, Respondents. ATTORNEYS: Claimant, Patricia E. Ladd, ("Claimant"), appeared Pro Se., Los Gatos, CA. For Respondents, Crowell, Weedon & Co., Inc, and R. Jacques Bellesisles, (collectively "Respondent"), appeared in-house counsel James L. Cronk, Esq., Los Angeles, CA. DATE FILED: March 2, 2000

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION INC. CASE:00-00091 Ralph L. Butts, claimant vs. Fairchild Financial Group, respondent. ATTORNEYS: Claimant appeared Pro Se, Greeley, CO. Respondent did not appear in this matter. DATE FILED: January II, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute his sell order of DECG stock in a timely manner thereby causing losses in his account. Claim Data Award Data Claim: $3

N.A.S.D. AWARD NATIONAL .ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wheat, First Securities. Inc. 94-00834 Name of Respondent Melbis Development Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1994, Claimant Wheat, First Securities, Inc. ("Claimant"), alleged that Respondent Melbis Development Corp. ("Respondent"), failed to pay an unse

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Datween Name of Claimants Chun Chaw Judy Chuang & Chin-Lern Jin, WTROS. Award No. vs. 94-00824 Name of Respondent Brown & Company Securities Corporation REPRESENTATION For Claimants, Chun Chaw, Judy Chuang and Chin-Lern Jin ("Claimants"), Paul J. Foreman, Esq., located in Red Bank, New Jersey. For Respondent, Brown & Company Securities Corporation,