AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Chad R. Eshleman 96-02190 Name of Respondents Mark Lamm; Berthel Fisher & Company Financial Services Inc. REPRESENTATION For Claimant: Chad R. Eshieman ("Eshleman") was represented by lames J. Moylan, Esq. of Arnstein & Lehr, located in Chicago, Illinois. For Respondents: Berthel Fisher & Company Financial Services Inc. ("B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bob F. Reaves 96-02184 Name of Respondents Bidwell '& Company Bryan D. Smith CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on May 21, 1996, Claimant Bob F. Reaves ("Claimant"), who appeared Fro Se, alleged that Respondents Bidwell & Company ("Bidwell") and Bryan D. Smith ("Smith*

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant DBK-Pinnacle, Inc. v. NASD Arbitration No.96-02161 Name of Respondents La Jolla Capital Corporation and Harold Bailey "B.J." Gallison, Jr. v. Name of Third-Party Respondent Raymond P. Dowd REPRESENTATION For Claimant: John C. Bray, Esq. DBK-Pinnacle, Inc. Marina Del Rey, California For Respondents: Jam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Eme f Salvatore & Regina Butera 96-02159 Name of Respondents Geoffrey Newman J.B. Hanauer & Co. REPRESENTATION For Claimants: Lloyd De Vos, Esq. of the law firm of De Vos & Co., New York, NY. For Respondents: Scon L, Warfman, Esq. of the law firm of Bloom & Warfman, P.A M Miami, Florida. CASE INFORMATION Sta

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gerald Gudmonson, u Claimant, v. No. 96-02158 Olde Discount Corporation, John Zabrocki, Lance Ziesemer, and David Wood, Respondents. REPRESENTATION OF PARTIES Claimant Gerald Gudmonson ("Claimant") was represented by Rebecca E. Bender, Esq. of Law Offices of Rebecca E. Bender, P.A. located in Minneapolis, Minnesota. Respondents

AWARD NASD REIIA1N INC.. OFFICE OF DISPUTE In the matter of the Arbitration Between Grace M. Binkley Trust, F M . Binkley, Trustee v. Arbitration No. 96-02154 Smith Bentm & Hughes, Inc. Jon P. Martin MOceZaman REPRESENTATION For Claimant: F.M. Binkley, Berkeley, California For Respondents Smith Beaton ft Hughes, Inc., and MikeZaman: Douglas Vining, Esq., Law Office of frying Einhom, Los Angeles, California Respondent Jon P. Marti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert H. Francis Revocable Living Trust 96-02153 Name of Respondents Smith Barney, Inc. William Russell REPRESENTATION For Claimant: Steele T. Williams, Esq. and Richard W. Groner, Esq. of the law firm of Groner & Schieb, Sarasota, Florida. For Respondent Smith Barney, Inc.: Nicole Felton, Esq., in-house counsel at Smith B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fhft Claimants rqspTsJmnViPr' 01-02084 Doris Kay Steele; Margaret Davis ; Paralee Kortis; James Harrod; and Kris Steele nf fop-. flpspfYpHsnts Hfipring Sit?' Oklahoma City, Oklahoma Morgan Stanley DW, Inc.; James Wood; and William Link PF.PPff.SF. TTOTNJ OF Claimants Doris Kaye Steele ("Kaye Steele"), Margaret Davis ("Davis"), Paralee Kortis, (Kortis)

s I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth A. Buecker 96-02152 Name of Respondents David Lavender Kevin Williams CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1996 claimant Kenneth Bueckner ("claimant"), who appeared Pro Se, alleged that on February 19, 1996, he purchased 50 units of Thermo-Miz

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant John J. Carr 96-02149 Name of | Respondents Joseph Roberts & Co. Rooz Eftekari REPRESENTATION For Claimant John J. Carr {"Claimant") appeared Michael McClaren, Esq. of the law firm of Falk & Siemer, LLP located in Buffalo, New York. For Respondent Joseph Roberts & Co. appeared John C. Corrigan,