N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #99-03180 Marcello Galluppi, claimant vs. Erik Sarlund, Evan Yaekel, Larry Lessley, OLDE Discount Corporation, respondents. ATTORNEYS: Claimant, Marcello Galluppi, appeared Pro Se., East Pointe, MI. For Respondents, Erik Sarlund ("Sarlund"), Evan Yaekel ("Yaekel"), Larry Lessley ("Lessley") and OLDE Discount Corporation ("OLDE"), appeared Corporate Counsel, David

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01508 AWARD In the Matter of the Arbitration Between Gilbert J. and Naomi Yablon Claimants vs. Stratton Oakmouc, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 1, 1992, Claimants Gilbert J. and Naomi Yablon, who appeared Pro Se, alleged that in May 1990 they were contacted by J. Burton Anderson of Respondent Strat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Joseph A. Vento _- and 92-01503 Name pf Respondent Boettcher & Co., Inc. REPRESENTATION OF PARTIES Claimant Joseph A. Vento appeared pro se. Respondent Boettcher & Co., Inc. was represented by William D. Nelson, Esq. of Robinson, Waters. O'Dorisio and Rapson. Denver, Colorado. CASE INFORMATION The Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Elaine Good Hubert F. Weidman NASD Arbitration No. 92-01502 Name of Respondents Paine Webber Incorporated Tom O'Connor REPRESENTATION For Claimant: Anthony M. Englese, Esq. - San Francisco, Ca. For Respondents: Joseph S. Schuchert, Esq. - Keesal, Young & Logan - Long Beach, California CASE INFORMATION State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INDUSTRY in the Matter of Arbitration Between Name of Claimant Prudential Securites inc. vs. Mame of Respondent Frank L. Fackovec Case#: 92-01501 REPRESENTATION For Claimant: Allen Meyer, Esq. of Katten Muchin & Zavis, New York, New York. For Respondent: Lawrence Mandelker, Esq. of Kantor Davidoff, Wolfe, Rabbino & Kas. New York. New York. CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irving and Barbara Klotz NASD Arbitration NASD #92-01434 Name of Respondents Titan Capital Corporation John Macri For Claimants: Irving Klotz, pro se. For Respondents: T. Thomas Fleming, ffl, Esq., of Jones, Bell, Simpson and Abbott, Los Angeles, California. CASE INFORMATION Statement of Claim filed: April 30, 1992

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Averell vs. 92-01481 Name of Respondent MiciAmerica Management Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on April 29, 1992, Claimant Michael Averell, who appeared Pro Se, alleged that Respondent MidAmerica Management Corp. failed to follow his order to sell

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Harold E. Anderson Susan F. Groberg Dr. H. Carlton & Ida Howard Gary S. Indyk Joanette Keeley John Nadzak Doris E. Riley Anthony Sfarra 92-01478 Name of Respondents) Baud Patrick & Company, Inc. Damon Keeley Andrew Dorman For Claimants Harold E. Anderson, Susan F. Groberg, Dr. H. Carlton and Id

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Eugene E. & Margaret S. Sikes Claimants vs. Oppenheimer & Co., Inc. Bruce P. McGaugh Respondents CASE #92-01469 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimants Eugene E. & Margaret S. Sikes, who appeared Pro Se, alleged that Respondent Bruce P. McGaugh, Acc

NATIONAL ASSOCIATION OP 'BCURITIBS DEALERS, INC. CASE #92-01466 AWARD In the Matter of the Arbitration Between David w. Vickson Claimant vs. Titan Value Equities Group, Inc. IDM Securities Corp. Vince J. Finnegan Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimant David W. Vickson, through his representative, Michael L. Paul, Woodland Hills, CA, alleg