AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Walter F. Old v. Name of Respondents Financial Network Investment Corporation and Russ Bateman NASD Regulation, Inc. Arbitration No. 96-00008 REPRESENTATION For Claimant: For Respondents: Jules L. Federman Investors Rights Association, Inc. Santa Barbara, California Samuel Y. Edgerton, III Nash &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Delta First Financial, Inc. 96-00002 Name of Respondent Larry D. Yost CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 2, 1996, Claimant Delta First Financial, Inc. ("Claimant"), through its representative and counsel, Stephen Murphy, Esq., of Pino & Dicks, located in Longwood,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A. Joseph Fairbank 95-06099 Name of Respondents Stratton Oakmont, Inc. Daniel M. Porush Daniel M. Porush Representation For Claimants appeared Susan N. Perkins of Susan N. Perkins, P.C,, 575 Madison Avenue, New York, NY 10022. For Respondents: (a) Daniel M. Porush. Respondent Porush was represented by Wex

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Carmen Snow, Robert H. Keeney, Kimberly S. Baumgartner, Melinda A. Keeney, and Melissa A. Keeney, Claimants, and No. 95-06095 Stifel, Nicolaus & Co., Inc., and Jason W. Rauschelbach, Respondents. REPRESENTATION OF PARTIES Claimants, Carmen Snow, Robert H. Keeney, Kimberly S. Baumgartner, Melinda A. Keeney, and Melissa A. Keeney, were represented

AWARD NASD REGULATION. EMC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Tod Faulkner v. • Arbitration No. . 95-06093 Name of Respondents Guy Clemente and Commonwealth Associates REPRESENTATION For Claimant: Allan H. Rockier Beverly Hills, California For Respondent Guy Clemente: Harry L. Garman, Esq. Fairfield, New Jersey For Respondent Commonwealth Associates: J. P. Wilson, Esq. Com

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Vickie D. M. Rigsby, Claimant vs. Bradley Warren Sodergren; Berthel Fisher & Co. Financial Services, Inc.; John G. Kinnard & Co., Inc.; Stifel Nicolaus & Co., Inc.; Kirkpatrick, Pettis, Smith, Polian, Inc., Respondents Case Number: 01-01128 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Bradley Warren Sodergren: For Responden

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ole L. Nilssen, Claimant, and No. 95-06092 Olde Discount Corp.; Robert G. DeVita; and Bruce Brattin, REPRESENTATION OF PARTIES For Claimant: Ole L. Nilssen ("Nilssen") was represented by Thomas F. Burke, Esq., of Chicago, Illinois. For Respondents: Olde Discount Corp. ("Olde"), Robert G. DeVita ("DeVita"), and Bruce Brattin ("Brattin") w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Salvatore Izzo, Jr. , Individually and as Custodian of the Salvatore Izzo, Jr., IRA 95-06086 Name of Respondents Dean Witter Reynolds, Inc. James W. Hughes For Claimants: Richard W. Groner, Esq. of Groner & Schieb, Tampa, FL. For Respondents: James D. Yellen, Esq. corporate counsel for Dean Witter Reynolds, Inc.fDean W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Delores Miller 95^6079 Name of Respondent Raymond, James & Associates, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on December 29,1995, claimant Delores Miller, who appeared Pro Se, alleged that respondent Raymond, James & Associates, Inc. made investments that were not suited to

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Cathy B. Derr Claimant, and No. 95-6075 Smith Barney, Inc. and William B.Campbell Respondents. REPRESENTATION OF PARTIES Claimant, Cathy B. Derr., ("Derr"), was represented by Jeffrey E. Ritter of Mullin Hoard & Brown located in Amarillo, Texas. Respondents, Smith Barney, Inc. and William B., Campbell, ("Respondents"), were represented by William A. Hohauser Vice-Presid