STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Christopher Pettengill and 99-05157 Minneapolis, Minnesota Name of Respondent Berthel Fisher & Company Financial Services, Inc. REPRESENTATION OF PARTIES Christopher Pettengill ("Claimant") was represented by Pace, Esq., Wiese Law Firm, P.A., Minneapolis, Minnesota. Berthel Fisher & Company Financial Services, Inc. ("Respondent") was represen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wells Fargo Securities, Inc., Claimant v. Kama! Mansour and Diah S. Thabet, Respondents Case Number: 99-05137 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Howard A. Kipnis, Esq. Hilding Kipnis Lyon & Kelly San Diego, California For Respondents: Catherine L. Bland, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, Californi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Darwin Kurt Hoop and Brenna Muldavin v. JB Oxford & Company Case Number: 99-05128 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants, Darwin Kurt Hoop and Brenna Muldavin, hereinafter collectively referred to as "Claimants": Michael Huberman, Michael Huberman & Associates, La Quinta, California. Respondent, JB Oxford & Company, hereinafter referred to as "R

Award NASD Dispute Resolution., Inc. In the Matter of the Arbitration Between: The Estate & Testamentary Trusts of Eurilla Marie Herrin Mayerle, Claimant, Vs. Merrill Lynch Pierce Fenner & Smith Inc., and Murray Keith Lake, Respondents. Case Number: 99-05126 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant the Estate & Testamentary Trusts of Eurilla Marie Herrin Mayerle, "Estate of Mayerle" was represented by Frank L. Mauro, E

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between • Name of Claimants Cesar and Leonor Maderazo and 99-05125 Scottsdale, Arizona Name of Respondents Piper Jaffray, Inc. n/k/a U.S. Bancorp Piper Jafray, Inc. Vincent H. Rossi REPRESENTATION OF PARTIES Cesar and Leonor Maderazo ("Claimants") were represented by Richard G. Himelrick, Esq., Tiffany & Bosco, Phoenix, Arizona. Piper Jaffray, Inc. n/k/a U.S. Bancor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05124 American Fronteer Financial Corporation f/k/a RAF Financial Corporation, claimant vs. Ronald J. Zabriskie, respondent. ATTORNEYS: For Claimant appeared Carla B. Minckley, Esq. and Thomas D. Birge, Esq., of the firm Birge & Minckley, P.C., Denver, CO. Respondent appeared Pro Se, Rockville, MD. DATE FILED: November 15, 1999 CASE SUMMARY: Claimant alleged that respondent fai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Micki Delp and the Micki Delp IRA Guarantee & Trust Co., Claimants v. Hanmi Securities, Inc., Eul Hyung Choi, Jin U. Lee, and Jay S. Lee, Respondents Case Number: 00-05540 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents Hanmi Securities, Inc. and Eul Hyung Choi: For Respondent Jin. U. Lee: For Respondent Jay S. Lee:

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05112 Michael J. Salkind, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Mel Vogel and Adam Schoesler, Respondents. ATTORNEYS: Claimant, Michael J. Salkind, ("Claimant"), appeared Pro Se, Cleveland Heights, OH. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Merrill Lynch"), Mel Vogel ("Vogel") and Adam Schoesler, ("Schoesler"), (collectively "Respondents"), appe

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Leonard Beare and Cora Beare (Claimants) vs. J.W. Barclay & Company, Inc., Ehab Shalaby, and Edgar Alacan (Respondents) Case Number: 99-05099 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Claimants, Leonard Beare and Cora Beare ("Beare") hereinafter collectively referred to as "Claimants" were represented by Hans Huang, Esq. of Maupin, Taylor & Ellis, P.A. locate

Award NASO Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karl J. Keffler, (Claimant) vs. A.G. Edwards & Sons, inc. (Respondent). Case Number: Hearing Site: 99-05093 St. Louis Missouri REPRESENTATION OF PARTIES Claimant, Karl J. Keffler, hereinafter referred to as "Claimant": Karl J. Keffler, Pro Se, St. Louis, Mo. Respondent, A.G. Edwards & Sons, Inc., hereinafter "Respondent": Nuviah Shirazi, Esq., A.G. Edwards & Sons, Inc.