^r r\ t- •-' N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS © National Association of Securities Dealers. Inc. In the Matter of the Arbitration Between All Rights Reserved Name of Claimant Maria Joaquin 9504827 Bank of America NT & SA Salim Kimiagar BA Investment Services, Inc. CASE SUMMARY •l?TT?i^r^?^u?^*TT"? ich^:".; •'.' .•- • •< ".•_,-.,>..•,, '•• '•-.•'•:'• •>-.-•   ; "-- In a claim filed with

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R.T. & Barbara B. Musselwhite R.T. Musselwhite Trust Barbara B. Musselwhite Trust Barbara B. Musselwhite 95-04820 Name of Respondents Prudential Securities Inc. Herman Jaehne REPRESENTATION For Claimants, R.T. & Barbara B. Musselwhite, R.T. Musselwhite Trust, Barbara B. Musselwhite Trust, and Barbara B. Musselwhite

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Abraham J. Friedman, Claimant v. No. 94-04810 Jerry Steinberger, and Smith Barney, Inc., Respondents. REPRESENTATION OF PARTIES =_ HC == H ~ nH «_=_ m === =x _ B== ^-. Abraham J, Friedman ("Gaimant") was represented by Jon A. Titus, Esq., and David R. Jordan, Esq., of Titus, Brueckner & Berr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gail Hoy, Claimant v. Salomon Smith Barney, Inc., James H. Oliver, and Ronald S. Shores, Respondents Case Number: 01-01997 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondents: Paul J. Schumacher, Esq. David D. Piper, Esq. Keesal,

© National Associati on n f Securities Dealers, inc. 95-04807 AU Rights Reserved N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Danny E. Huntley Name of Respondents Cohig & Associates, Inc. Robert W. Lewis REPRESENTATION For claimant Danny E. Huntley ("claimant") appeared Robert H. Putnam, Esq., a sole practitioner located in Atlanta, Georgia. For respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincenzo & Nunzia Rossiello 95-04806 Name of Respondent A A r + Securities Balers Inc. Anthony Cantone AIJ Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 11, 1995, Claimants;- - N Vincenzo and Nunzia Rossiello ("Claimants'^; who^appeared Pro Sei/alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Doxzen 95-04803 Name of Respondent Kidder, Peabody & Co., Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 11, 1995 Claimant: a ;,:, ,;, ^Patricia Doxzen ("Claimant"), through her representative Mary Gateljr BciSfey;;jEsq^^^^son^^ 0 ^ ("Chima Maryla

NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Vivian Joy Konopasek v. Arbitration No. 95-04799 Name of Respondents Bradley Katz, Kimberly Hardaker, Dennis Hardaker, James Morgan Bowen, Ralph Pillman, Donald Vigil, International Assets Advisory, Inc., Brennan Ross Securities, Inc., Tamaron Investment. Inc., and Baraban Securities, Inc., REPRESENTATION For Claimant: Vivian Joy

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Fae Greenburg Living Trust, Bradley J. Fink, Denise Price, Michele Kichura, and Doris Fisher, Claimants, and No. 95-04795 Advest, Inc. and Charles Wayne O'Neal, Respondents. REPRESENTATION OF PARTIES Claimants, Fae Greenburg Living Trust, Bradley J. Fink, Denise flee, Michele Kichura, and Doris Fisher, were represented by Mayer S. Klein, Esquire of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. la the matter of the Arbitration Between Name of Claimants Paul S. Dwan v. NASD Arbitration No.95-04793 Name of Respondents Bear, Stearns & Company, Inc. and Paul B. Berman REPRESENTATION For Claimant: James Geffher, Esq. ForRespondents: Kee • LdtigBfcaeh, California CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: