AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Philip W. Bodine and 00-00701 Indianapolis, Indiana Name of Respondent First Union Securities, Inc. REPRESENTATION OF PARTIES Philip W. Bodine ("Claimant") was represented by Mark Maddox, Esq. And Andrew Stoltmann, Esq., Maddox Koeller Hargett & Caruso, Indianapolis, Indiana. First Union Securities, Inc. ("Respondent") was represented by Bernard

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daniella Pashko, (Claimant) vs. Anthony LaPenna, Alex J. Gonzalez, Jr., R.D. White & Co., Inc., Richard Dambakly and J.W. Barclay & Co., Inc., (Respondents) Case Number: 00-00085 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Daniella Pashko, hereinafter referred to as "Claimant": Frank E. Derby, Esq., Skadden, Aarps, Slate, Meagher & Flohm LLP, New

AWARD NASD, Regulation, Inc., Office of Dispute Resolution. In the Matter of the Arbitration Between NASD Regulation, Inc. No.95-05856 David J. Lawson Claimant vs. Bear Steams Securities Corporation Stephen Buxton Respondents REPRESENTATION OF PARTIES For Claimant: Stephen J. Hill, Esq. Snow, Christensen & Martineau Salt Lake City, Utah For Respondent: Represented by counsel until just prior to hearing; no appearance

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between H.G. Bossley and Carole P. Bossley, Claimants, and No. 95-05855 Mariner Financial Group, Inc., Joe F. Moore, Jr., and Brokers Transaction Services, Inc., Respondents. REPRESENTATION OF PARTIES Claimants H.G. Bossley and Carole P. Bossley were represented by Don K. Leufven, Esquire of Alonso & Cersonskym P.C., located in Houston, Texas. Responden

No. 95-05849 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between James K. Peters, Claimant, and Dickinson & Co., and Cynthia L. Cooper, Respondents. REPRESENTATION OF PARTIES Claimant James K. Peters was represented by Jim Marlen, Esquire of Dallas, Texas. Respondent Dickinson & Co. was represented by Barbara Bennett, Esquire of Dickinson & Co., located in Des Moins, Iowa. Respondent Cynthia

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants George & Eva Dishong 95-05846 Name of Respondents Josephthal Lyon & Ross Inc. Ashley Reid Porto REPRESENTATION Claimants George and Eva Dishong ("Claimants") were represented by David Bunis, Esq., Dwyer & Collora, Boston, MA. Respondent Josephthal Lyon & Ross, Inc., ("JLR") were represented by Brian J

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard F. and Peggy Q. Kent 95-05842 Name of Respondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 14, 1995, Claimants Richard F. and Peggy Q. Kent ("Claimants"), who appeared Pro Se, alleged that Respondent Stratton Oakmont, Inc., through its rep

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joe K. Berkan 95-05829 Name of Respondents Columbus Financial, Inc. Neal B. Stein Roger H. Chlowitz Bernard Morry Mustang Development Corp. For Claimant: Howard N, Kahn, Esq. of the law firm of Kramer, Green, Zuckerman & Kahn, P. A., Hollywood, Florida. The Respondent Bernard Morry appeared pro se. The

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Meredith Capital Partners, L.P. 95-05824 Name of Respondents Bear Stearns & Company Fred Kelleher REPRESENTATION For Claimant Meredith Capital Partners, L.P. appeared Jack Meredith located in Hilton Head Island, SC. For Respondents Bear Stearns & Co. ("Bear Stearns") and Fred Kelleher ("Kelleher") appeared Terry Weiss, Esq

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Paul Cimins Phyllis Cimins 95-05802 Name of Respondent Smith Barney Shearson, Inc. Allan Pines REPRESENTATION For claimants Paul and Phyllis Cimins ("claimants") appeared Edward G. Werner, Esq. of Jackson, New Jersey. For respondents Smith Barney Shearson ("Shearson") and Allan Pines ("Pines") appeared Christine Tracey, Esq. and Paul K. Barenholtz, Esq.