N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between NASDR Arbitration No.95-03S40 Name of Claimant Robert Lamson vs. Name oj Respondent Piper Jaffray, Inc. W. Lee Jeffers REPRESENTATION For Claimant: E. Michael Hoffman, Esq., Evergreen, Colorado. For Respondent Piper Jaffray: William D. Nelson, Esq., Robinson, Waters, O'Dorisio & Rapson, Denver, Colorado. For Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant{s) William R. Olson and Josephine Olson; Judy Anderson and Lewis Anderson; and Ann Witser NASD Arbitration No. 95-03835 Name of Respondent(s) Ralph Wetzstein KMS Financial Services, Inc. REPRESENTATION For Claimants: F. Mike Shaffer, Esq., Gordon, Thomas, Honeywell, Malanca, Peterson & Daheim, Tacoma, Washingt

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, AWARD In the matter of the Arbitration Between Name of Claimant!s) Frank J. NIezgoda NASD Arbitration v. No. 95-03830 Name of Respondents) Drake Capital Securities, Inc. Joseph DiLillo Mark Tipton REPRESENTATION For Claimant: Edward Gartenberg, Esq., Torgny Nilsson, Esq. Bums, Drulias & Gartenberg, Los Angeles, California For Respondents: H Thomas Fehn, Esq., Fields, Fe

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimant John T. Meo and Betty J. Meo, Co-Trustees of the Julia Clark Post Trust 95-03822 Names of Respondents Dean Witter Reynolds, Inc. and William Haines REPRESENTATION OF PARTIES For Claimant the Julia Clark Post Trust ("the Trust") by the Co-Trustees, John T. Meo and Betty J. Meo, ("the Meos"): Brian J. Cooke, Esq. of the law f

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stifel, Nicolaus & Company, Inc. and 95-03820 Name of Respondent Richard M. Harris REPRESENTATION OF PARTIES Stifel, Nicolaus & Company, Inc. ("Claimant") was represented by Michael J, Runzi, Esq., Stifel, Nicolaus & Company, Inc., St. Louis, Missouri. Richard M. Harris ("Respondent") appeared pro se, CASE INFORMATION Th

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Massey Wheeler Co, Ltd 95-03816 Name of Respondents) Steve Hafer; Unicomp. Inc.; Unicol, Inc.; Robert Todd Securities REPRESENTATION For Claimant: Massey Wheeler Co. Ltd. ("Massey") was represented by Raymond A. Boldt, Esq. of Mundelein, Illinois, but did not appear at hearing. For Respondents: Unicomp, Inc. ("Unico

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Goodridge Douglass, Trust, Deborah Norum and Penelope Swanson, Beneficiaries, Claimants v. Davidson Trust Co. (Dadco), Bradley E. Dugdale, and John H. Davant, Respondents Case Number: 01-01932 ; Hearing Site: Seattle. Washington Nature of Dispute: Customers v Non-Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Kelly N. Brown, Esq. Irwin, Mykleb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore J, and Cheryl L. Fick 95-03815 Name of Respondents Oxford Discount Brokerage Robert R. Forker CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1995 Claimants Theodore L and Cherly L. Fick ("Claimants"), who appeared Pro Se, alleged that Respondents Oxford Discoun

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dorothea M. Smothers; Warren C Smothers; John C, Smothers; individually and as Trustee of the John C. Smothers Children's Trust; Warrena C. Loessin, individually and as Trustee of the Warrena C. Smothers Children's Trust; J. Paul Smothers; and Lory Ann McDonald; and 95-03814 Names of Respondents Merrill Lynch Pierc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilbert E. and Esther J. Ciocca 95-03813 Name of Respondents John L. Lembo, III Hanover, Sterling & Company, LTD. (Bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1995, Claimants Gilbert E. and Esther J. Ciocca (''Claimants"), who appeared Pro Se, alleged that Respo