N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard W. & Laura W. Reed Richard W Reed & Laura W. Reed Living Trust 96-02096 Name of Respondents Retirement Investment Group Gail Ann Gen try Thomas Cannon Gail Gnseuk & Associates, IDC. TEI Strategies, Inc. Angoa Financial Services, Inc. I^EPR^ffSTATION For Claimants: Michael W. Parsley, Arbitration R

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No, 96-02095; Award Page 1 of 7 NASD Regulation, Inc., Award In the Matter of Arbitration Between Rolf £. Eidbo, Claimant, and No. 96-02095 Rauscber Pierce Refsnes, Inc., Respondent. REPRESENTATION OF PARTIES Claimant, Rolf E. Eidbo ("Eidbo") was represented by Charles £. Appier, Esquire of Bennett & Weston, P.C., located in Dallas, Texas. Respondent, Rauscher Pierce Refsnes

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Government Securities Corp., Claimant., and No. 96-02092 Rhodes Securities, Inc., James G. Rhodes, and William C. Swanner, Respondents, REPRESENTATION OF PARTIES Claimant Government Securities Corp. was represented by J. Dale Wainwright, Esquire of Haynes and Boone LLP, located in Houston, Texas. Respondents Rhodes Securities, Inc., James G.

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John "Jack" Cope v. Arbitration No. 96-02088 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES John "Jack" Cope ("Claimant") was represented by Kevin M. Seibert, Esq., Diehl, Steinheimer, Riggio, Haydel & Mordaunt, Stockton, California. Dean Witter Reynolds, Inc. ("Respondent") was represented by Timm

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Rose-Marie Corns tock, Trustee, Comstock Family Trust, Rose- Marie Comstock, Conservator for the Estate of Piety Ferreira Arbitration No. 96-02087 Name of Respondent(s) Corporate Benefit Securities Inc. Leonard Kahn REPRESENTATION For Claimants: Matthew F. Quint, Esq., Quint & Valkevich, San Francisco, Califo

AWARD NASD Regulation, Inc. Office of Dispute Resolution^ In the Matter of the Arbitration Between Name of Claimant Elmer G. Nordstrom and . 96-02086 Name of Respondent National Discount Brokers REPRESENTATION OF PARTIES Elmer G. Nordstrom ("Claimant") was represented by Stephen G. Froehle, Esq., Persian, MacGregor & Thompson, Minneapolis, Minnesota. National Discount Brokers ("Respondent") was represented by David E. Robbins, Esq., Kaufman,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stuart N. Costello 96-02082 Name of Respondent Smith Barney, Inc. (formerly Smith Barney Shearson, Inc.) CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on May 14, 1996, claimant Stuart N. Costello ("claimant"), who appeared Pro Se, alleged that in September 1991, he was ad

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Charles Maley Bradley Cimo 96-02080 Name of Respondents Julius Baer Securities, Inc. Bank Julius Baer Julius Baer Holdings REPRESENTATION For Claimants Charles L Maley and Bradley D 4 Cimo {"Claimants") appeared Jeffrey L. Liddle, Esq. and AllanS. Bloom, Esq. of the law firm of Liddle & Robinson, L.L.P. located

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joy A. Swanson, Claimant v. CIBC World Markets Corp., Larry Ray Bishop, and Carl Thomas Chaleffi, Respondents Case Number: 01-02068 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant; For Respondents: Kennard M. Goodman, Esq. Ryan, Swanson & Cleveland, PLLC Seattle, Washington Lloyd S. Clareman, Esq. Law Offices of Lloyd S. Clareman

NASD REGULATION, INC. FINAL ORDER NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bishop. Rosen & Co.. Inc. 96-02079 Name of Respondent Jerry Terry Saperstein REPRESENTATION For Claimant Bishop, Rosen & Co., Inc. ("Claimant") appeared Michael Einbinder, Esq. of Einbinder & Dunn, P.C., New York, New York. For Respondent Jerry Terry Saperstein ("Respondent") appeared Jerome Olitt of Stamford. Connecticut. CA