NASD AWARD In the Matter of the Arbitration Between Bell Sports Corp., Claimant, v. No. 95-00108 Wesley D. Tate, and Smith Barney Shearson, Inc., nka Smith Barney Inc., Respondents. REPRESENTATION OF PARTIES Bell Sports Corp. ("Claimant") was represented by Howard Ross Cabot, Esq., of Brown & Bain, Phoenix, Arizona. Wesley D. Tate ("Tate"), and Smith Barney Shearson, Inc. nka Smith Barney Inc. ("SB") (collectively referred to as "Res

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Cash O. Davenport, Claimant, v. No. 95-00107 Paine Webber Incorporated, Respondent. REPRESENTATION OF PARTIES Cash O. Davenport ("Claimant") was represented by Joseph D. Shepard, m, Esq., of Camahan , Evans, Cantwell & Brown, P.C., Springfield, Missouri. PaineWebber Incorporated ("Respondent") was represented by William R. Golden, Esq., of Ke

NASD Arbitration No. 9S.-00105 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Mame , of Claimant fa) Jon C. Colbert Name of Respondent (s) Marketing One, Inc. Marketing One Securities, Inc. North Island Federal Credit Union REPRESEMTATTQM For Claimant: Laura K. Kail, Esq., San Diego, California For Respondents Marketing One, Inc. and Marketing One Securities, Inc.: Stephen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. Feeney 95-00104 Name of Respondents Bryn Mawr Investment Group, Inc. Richard M. Muhlberg REPRESENTATION Claimant James J. Feeney ("Claimant 11 ) was represented by Anthony J. Horn, Esq., Philadelphia, PA Respondents Bryn Mawr Investment Group, Inc. ("BMIG") and Richard M. Muhlberg ("Muhlberg") were repr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joanne S. Matson 95-00102 Name of Respondents Smith Barney Shearson, Inc. Joseph D. Holsinger REPRESENTATION For Claimant: Hugh N. Smith, Esq. of the law firm of Smith & Fuller, P. A., Tampa, Florida. For Respondents: Christopher B. Q' Malley, Esq., in-house counsel at Smith Barney, Inc. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between \arnp of Claimant Richard M. Scott Case Number 95-00097 Name of Alex Brown & Sons, Inc. Marc Thomas Taylor For Claimant Richard M. Scott ("Claimant") appeared Mary Ann Stokes, Esq., Conn, Lifland, Pearlman, Herrmann &. Knopf, Saddle Brook, New Jersey. For Respondents Alex Brown & & Sons, Inc. ("Alex Brown") and Marc Thomas Taylor ("Taylor")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dr. William B. and Nancy P. Shannon 95-00096 Name of Respondents Prudential Securities Inc Richard R. Jarman REPRESENTATION For Cla imants Dr. Wi11iam B. Shannon and Nancy P. Shannon ("Claimants"): J. Michael Mulvaney, Esq., of the law firm of James, McElroy & Diehl, Charlotte, NC For Respondents Prudential Securities

08/14/01 THC 13:18 FAX NASD REGULATION Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Kintonis, (Claimant) v. Raymond James & Associates, Inc., and Gerard Phillips (Respondents) PaperCase : 00-03771 RFPRFSENT\TION OF PARTIES Claimant Thomas Kintonis ("Kintonis"): Leslie A. Blau, Esq., Blau & Bonavich, Chicago, Illinois. Respondent Gerard Phillips ("Phillips") and Raymond James & Associates, Inc. ("Ra

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Chris McClelland, Claimant, v. No. 95-00091 Stratton Oakmont, Inc., Jordan R. Belfort, Daniel M. Porush, Kenneth S. Greene, Edward Michael Azrilyan, John Squieri, Tim Hills, and David Beall, Respondents. REPRESENTATION OF PARTIES Claimant was represented by John J. Miller, Esq., Overland Park, Kansas. On August 8, 1996, Claimant filed no

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between : Roger W. Arvold and Maxine E, Arvold, Claimants, v. No. 95-00090 Piper Jaffray, Inc., Respondent. REPRESENTATION OF PARTIES Claimants Roger W. Arvold and Maxine E. Arvold were represented by Kevin D. Hoffman, Esq. of Jacobson Harwood Brill & Bennet, P. A. located in Minneapolis, MN. Respondent Piper Jaffray, Inc. was represented by Lawrenc