N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ~ Name of Claimant Elliot Braun 95-00237 Name of Respondents A.S. Goldmen & Co., Inc. Chris J. Richardson REPRESENTATION Claimant Elliot Braun ("Claimant") appeared pro se. For Respondents Chris Richardson ("Richardson") and A.S. Goldmen & Co., Inc. ("A.S. Goldmen") appeared Phoebe A. Wilkinson, Esq. of the law firm of Chadbourne & Parke LL

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant: Albacora Corporation Case No: 99-03393 Names of Respondents: Prudential Securities, Inc., Carlos A. Gallo, Jeannie Adams and Alejandro Riquezes Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Albacore Corporation ("Albacora") hereinafter referred to as "Claimant": Melanie S. Cherdack, Esq., Genovese, Lichtman, Joblov

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nam? of Claimant Harold Bonin 94-02809 Name of Respondents Noah Maltz John Puglisi James W. Bullard Vincent D. Cantella CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1994, Claimant Harold Bonin, who appeared Pro Se, alleged that Respondents James W. Bullard ("Bullard"), John Puglisi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roland Stanley 94-05217 Name of Respondent Jay A. Gilston CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 12,1994, Claimant Roland Stanley, who appeared Pro Se, alleged that Respondent Jay A. Gilston misrepresented an investment which resulted in a loss. Oaimant further allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) David and Linda Benjamin 95-05995 Name of Respondents) Karen Billings REPRESENTATION For Claimants David & Linda Benjamin, Howard A. Winter, Esq. located in New York, New York. For Respondent Karen Billings, Leon B. Lipkin, Esq. located in New York, New York. CASE INFORMATION Statement of Claim filed: December 20, 1995.

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Mark Zimmer 95-02684 Name of Respondent PaineWebber, Inc. REPRESENTATION For Claimant, Mark Zimmer ("Claimant"), appeared Brian E. Mass, Esq., of the law firm of Beldock Levine & Hoffman located in New York, New York. For Respondent, PaineWebber, Inc. ("Respondent"), appeared Frederic L. Lieberman, Esq., of the law firm Jackson Lewis Sch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann Trischetta 95-05579 Name of Respondents Alex Brown & Sons Incorporated Seaboard Securities, Inc. Herbert Gurwitt REPRESENTATION For Claimant Ann Trischetta ("Claimant") appeared George V. Cornell, III of the law firm George V. Cornell, III and Associates located in Staten Island, New York For Respondent Alex Brown &

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In tne Matter of the Arbitration Between) John 0. and Mary A. Turner ) Claimants } and A M A R 0 88-03351 Prudential Bache Securities, Inc.; Joseph V. Palmer Respondents . ) CASE SUMMARY In a claim filed with the NASD on October 31, 1988, Claimants John and Mary Turner ("the Turners") alleged that Respondents Prudential Bach« Securities, Inc. ("Prudential Bacne") and Joseph Pal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anne Novotny Claimant vs. Herzog Heine Geduld, Inc. Wall Street Clearing Corporation Timothy Carroll Christopher Miller Respondents CASE #88-03349 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1988 Claimant Anne Novotny alleged Respondents engaged in a pattern of unscrupulous

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Frederick W. Landman, ) individually and ) FBO Gertrude E. Landman ) Family Trust Claimants ) vs. ) AWARD Charles Schwab & Company, ) Inc. Respondent ) CASE NO. 88-03114 SUMMARY OF ISSUES Claimant alleged Respondent, by failing to answer the telephone as promised in their advertisements, prevented Claimant from engaging in a plan to enter or