N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 95-00900 Name of Respondent Michael J, Bader REPRESENTATION For Claimant Oppenheimer & Co., Inc. ("Claimant"): Lloyd S. Clareman, Attorney at Law, New York, New York For Respondent Michael J. Bader ("Respondent"): Gerald D. Fischer, Esq. of the law firm of Opton Handler Gottlieb Feiler & Katz, LLP, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Larry A. Berman 95-00897 Name of Respondent(s^ La Jolla Capital Corp. B. J. Gallison Alex Folgen REPRESENTATION Claimant Larry A. Berman ("Claimant") appeared pro se Respondents La Jolla Capital Corp. ("La Jolla") and B. J. Gallison ("Gallison 11 ) were represented by James C. Weaver, Esq., La Jolla r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Paine Webber, Inc. Name of Respondents) Robert A. Magnan 95-00894 5 National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION For .Claimant, PaineWebber, Inc. ("PaineWebber"): Cbirtsfopher L. Griffin, Esq. of Ajinis, Mitchell, Cockey, Edwards & Roe of Tampa, Florida." ^ ;i ^J v

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Judy D. Williams NASD Arbitration #95-00883 vs. Name of Respondent Smith Barney Inc. REPRESENTATION For Claimant: Philip C. Patterson, Esq., Patterson, Barking & Sensenig, Ogden, Utah For Respondent: Chris Wangsgard, Esq., Parsons, Behle & Latimer, Salt Lake City, Utah CASE INFORMATION Statement of Claim filed Feb

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Darryl Settles and Case Number: 95-00878 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; and Samuel Reddick REPRESENTATION OF PARTIES Claimant Darryl Settles ("Claimant") was represented by Terry Williams, Esq. of Detroit, Michigan. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch")

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kemper Securities, Inc. Claimant, 95-00874 John C. Padelford III, Patricia J. Padelford, Phoenix Pacific Properties, Ltd. Respondent, and John C. Pandelford III, Patricia J. Pandelford Counterclaimant, v. Kemper Securities, Inc. Counterrespondent, REPRESENTATION OF PARTIES Kemper Securities, Inc., ("Claimant") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Jn the Matter of the Arbitration Between Name of Claimants Dale F. and Catherine Barber 95-00871 Name of Respondents Paine Webber, Inc. Michael J. Marasco CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21,1995, Claimants Dale F. and Catherine Barber ("Claimants"), through their representative, Christopher D. Barber, allege^ that

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sharon Lockhart, Claimant, v. No. 95-00869 A. G. Edwards & Sons, Inc., and Steven B. Vecchio, Respondents. REPRESENTATIQMQF PARTIES Sharon Lockhart ("Claimant") was represented by Jean Lamfers, Esq., of Lamfers & Maneke, Kansas City, Missouri. A. G, Edwards & Sons, Inc.{"AGE") was represented by Phyllis A, Hartrich, Esq., A. G. Edwards &

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Henry Masakowski, Sr Claimant, v. No. 95-00866 Securities Planners, Inc., Robert Cannon, and Larry Rosen, Respondents REPRESENTATION OF PARTIES Claimant Henry Masakowski, Sr. ("Claimant") was represented by David H. Jarvis, Esq. of Singer & Zamanski located in New York, New York. Respondents Securities Planners, Inc., Robert Cannon ("Can

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James and Genevieve Sternweis 95-00854 Name of Respondent Wes B. Harrison CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1995, Claimants James and Genevieve Sternweis, who appeared Pro Se, alleged that Respondent became their broker in February of 1993, at which time