N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claima.iVi.fc': . : Robert N. Sturwold Roy Sturwold Rita M. Sturwold 96-01263 Name of Respondent^ •- Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATIONS Claimants Robert Sturwold and Roy Sturwold appeared pro se. Claimant Rita Sturwold did not attend the hearing, (hereinafter collectively "claimants"). For responde

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimants Julius & Selma Isaacson Julius Isaacson and Barbara Callahan Julius Isaacson 96-01259 Name of Respondents Fahnestock & Co., Inc. Bruce Kurchack REPRESENTATION For Claimants Julius and Selma Isaacson and Barbara Callahan ("Claimants") appeared Frank J. Evangelist, Esq. of Ormsten & Evangelist located in Jericho, New York. For Respondents Fahne

AWARD National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Eric Scheffey, Claimant. v. Case Number 96-01256 Shearson Lehman Brothers and Joseph Bergner, Respondents. REPRESENTATION OF PARTIES Claimant, Eric Scheffey was represented by Robert Karoly, Esquire and Dennis H. Taylor, Esquire of Taylor & Associates located in Longview, Texas. Respondents, Shearson

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. in the Matter of the Arbitration Between Name of Claimant Roger L. Pierre 96-01253 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Joseph W. Sanford REPRESENTATION Claimant Roger L. Pierre ("Claimant") was represented by John P. Connolly, Esq., Alexandria, VA, Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and Joseph

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant David A. Gingras 96-01251 Name of Respondents Equitable Life Assurance Society of the United States Equitable Variable Life Insurance Co. Equico Securities, Inc. Raymond Barry Charles R. Datres James H. Houck Mark A. Swartz George W. Karr, Jr. REPRESENTATION Claimant David A.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jeffrey Leston 96-01249 Name of Respondents American Stock Transfer Co. National Financial Services Corporation REPRESENTATION Claimant Jeffrey Leston ("claimant") appeared Pro Se. For respondent National Financial Services Corporation ("National Financial") appeared Michael G. Shannon, Esq. of t

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Jeff and Kendra Moede V. 01-01184 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., George F.Stahmerm, Jeffrey W. Hendley, Hendley / Stahmer Group, Jones / Hendley / Stahmer Group, and Thomas J. Klucsarits REPRESENTATION OF PARTIES Jeff and Kendra Moede ("Claimants") were represented by Kenneth B. Siegel, Esq., of Sherman &

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No. 96-01248; Award Page 1 of 5 NASD Regulation, Inc., Award In the Matter of Arbitration Between Richard Hittte, Claimant, and No. 96-01248 Texakoma Financial, Inc., Texakoma Oil & Gas Corporation, Dean R. Kennedy, Scott D. Kennedy and Richard J. Kennedy, Respondents. ; REPRESENTATION OF PARTIES > Claimant, Richard Hittle ("Kittle") was represented by G. David Westfall,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jean Wickland 96-01242 Name of Respondents Smith Barney Inc. Roland F. Biegler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1996, Claimant Jean Wickland ("Claimant"), who appeared through her representative and counsel Carla B. Minckley, Esq., alleged that Respondents

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Star Mining Co., Inc., Five Star Mining Limited Partnership, Larry J, Hiatt and Laura Hiatt, and John M. Hiatt, Claimants, and No. 96-01241 Dain Bosworth & Co., Inc., and George K. Baum & Co., Respondents, REPRESENTATION OF PARTIES Claimants Star Mining Co., Inc., Five Star Mining Limited Partnership, Larry J. Hiatt and Laura Hiatt, and