NASDR AWARD NASDR. TN[Q.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Lana Vanderplas NASDR Arbitration #96-00951 vs. Name of Respondents New England Securities Corp. Timothy]. Schumacher REPRESENTATION For Claimant: Steve D. Larson, Esq., Stoli Stoil Berne Lokting oC Shlachter P.C, Portland, Oregon For Respondents: Richard Stowell, Esq., Lord, Bissell & Brook, Chicago, Illinois CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants E. Boyd Taylor Family Trust 96-00950 Name of Respondents A.G. Edwards & Sons, Inc. and Piper Jaffray, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1996, Claimant E. Boyd Taylor appearing as trustee of the E. Boyd Taylor Family Trust ("Claimant"), who appeared Pro

'•< '? AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Juan Manuel Pasalagua and Maria Pasalagua, Claimants, and No. 96-00949 D.E. Frey & Company, Inc., Peter Sperling and Kenneth Sperling, Respondents, REPRESENTATION OF PARTIES Claimants, Juan Manuel and Maria Pasalagua, were represented by William R. Burke, Jr., Esquire of Garcia & Burke, located in Houston, Texas, Respondent, D.E. F

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Robert W. Baird & Co., Incorporated 96-00948 Name of Respondent Ross A. Weissenhofer REPRESENTATION For Claimant: Robert W. Baird & Co., Incorporated ("Baird") was represented by James J. Eccleston, Esq. of Uscian & Eccleston, located in Chicago, Illinois. For Respondent: Ross Weissenhofer ("Weissenhofer 1 ') did not ap

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between C. Curtis Carter, and Jo An B. Carter, Claimants, v. No. 96-00946 Prudential Securities, Inc., and Roger D. Wood, Respondents. REPRESENTATION OF PARTIES C. Curtis Carter appeared on behalf of Claimants C. Curtis Carter and Jo An B. Carter ("Claimants"). Respondents Prudential Securities, Inc. ("PSI") and Roger D. Wood ("Wood") (hereafter joi

AWARD NASD Regulation, Inc. Office of Dispute Resolution - In the Matter of the Arbitration Between Burnell Moliere, Stratton Oakmont, Inc., Claimant, and Respondent. Mo. 96-00945 REPRESENTATION OF PARTIES Claimant Burnell Moliere ("Claimant") was represented at the hearing by Randall Moore. Respondent Stratton Oakmont, Inc. ("Respondent") failed to appear at the hearing. Respondent was previously represented by Gregg R. Evangelist, Esqu

NASD Arbitration No. 96-00940 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) James Michael Mosher Name of Respondent(s) Daehan Securities, Inc. and Indong Oh REPRESENTATION For Claimant: James Michael Mosher, in pro per Newport Beach, California For Respondents Daehan Securities, Inc. and Indong Oh: Indong Oh, in pro per Daehan Securities, Inc. Los A

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Sheldon B. Liebovich 96-00938 Name of Respondents GKN Securities Corp.; Dean L. Julia REPRESENTATION For Claimant: Sheldon B. Liebovich ("Liebovich") was represented by Steven M. Lirtzman, Esq. of Rockford, Illinois. For Respondent: GKN Securities Corporation ("GKN") was represented by Katherine Nathan, Esq. of GKN Secu

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Elmer E. Smith, and Marita E. Smith, Claimants, v. No. 96-00934 Scott A. Lehner, and Dickenson & Co., Respondents, REPRESENTATION OF PARTIES Claimants Elmer E. Smith, and Marita E. Smith were represented by Kurt A. Harper, Esq., of Sherwood & Harper, Wichita, Kansas. Respondents Scott A. Lehner ("Lehner"), and Dickenson & Co. ("Dickenson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Albert Pollari, Albert Pollari Trust and Pollari-Wright, Inc., Claimants v. TD Waterhouse Investor Services, Inc., Albert F. Di Pippo and Chris Koulouris, Respondents Case Number: 01-01158 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Victor G. Greene, Esq. Maynard Law Offices, PC Campbell, California For Respondents: Cara L. Finan, E