Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Margaret L. Moten, Claimant v. Uvest Investment Services, Respondent Case Number: 01-02233 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Margaret L. Moten, hereinafter referred to as "Claimant": Kalju Nekvasil, Esq., Stephen Krosschell, Esq., and Jennifer Newsom, Esq., Goodman & Nekvasil, P.A., Clearwater, Florida. For Uvest Investment Services, hereina

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of,the Arbitration Between Name of Claimant Taysir Y. Habrumman 96-05155 Name of Respondents Smith Barney, Inc. Robert G. Langstrom Patrick K. Neid REPRESENTATION Claimant Taysir Y. Habrumman ("Claimant") was represented by Marvin L. Szymkowicz, Esq., Mendelsohn & Szymkowicz, Washington, DC. Respondents Smith Barney, Inc. ("SBI"), Robe

N ,>' , N.A.S.D. REGULATION AWARD ^ fe '-' ' '' J & < - \ \ NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Vanessa Barber 96-05149 Name of Respondents Interstate/Johnson Lane Jason Heller REPRESENTATION Claimant Vanessa Barber ("Claimant") was represented by Cynthia V. McNeely, Payner & Spruill, Charlotte, NC. Respondents Interstate Johnson Lane ("IJL") and

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith, Inc. vs. Name of Respondent Case No. 96-05139 Shawn Hartpence REPRESENTATION For Claimant Merrill Lynch Pierce Fenner & Smith ("Claimant") appeared Christopher Coss, Esq. of the law offices of Rubin & Associates, P.C., located in Paoli, Pennsylvania. For Respondent Shawn Hartpence ("Respondent") appeared Andrew W. Sidman

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William E. Mros and 96-05138 Name of Respondent Sterling Foster & Co., Inc., Christopher B. Atteo, David Lieberman, Andrew Edward Reegen, Adam Lieberman, and Edmund Patrick Heeney REPRESENTATION OF PARTIES William E. Mros ("Claimant") was represented by Robert D. Mitchell, Esq., Phoenix^ArizoriaV Sterling Foster & Co., Inc

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Blaise Gerrato 96-05137 Name of Respondents Sterling Foster & Co. REPRESENTATION Claimant Blaise Gerrato ("Claimant") appeared pro se. For Respondent Sterling Foster & Co. ("Sterling Foster*) appeared Justin Sacca, Esq. of the Law Office of Joseph D'Elia located in Huntington, New York. CASE INFORMATION Claimant's Statement of Claim was filed on No

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Jose & Linda Marquez 96-05132 Name of Respondents Stratton Oakmont, Inc. Stephen Buxton REPRESENTATION OF PARTIES For Claimant: Jose Marquez represented himself. For Respondents: He did not make an appearance. CASE INFORMATION Claimants' Statement of Claim was filed on or about November 14, 1996.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05130 Olde Discount Corporation, claimant, vs. Gary Cucuzza, respondents. ATTORNEYS: For Claimant Robert S. Anderson, Esq., in-house counsel - Detroit, MI. For Respondents Respondent did not respond to the Statement of Claim DATE FILED: 11/18/96 CASE SUMMARY: Claimant alleged that per Federal Regulation it was forced to sell 2,000 shares of Netmana

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant LeEtta Engblom v. Name of Respondents Margaret Boland, Ronald Berg, and Titan/Value Equities Group, Inc. Arbitration No. 96-05129 REPRESENTATION For Claimant: For Respondents Margaret Boland, Ronald Berg, and Titan/Value Equities Group: Zev S. Brooks, Esq. Law Offices of Zev S. Brooks Fountain Va

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jennifer M. Schapiro 96-05127 Name of Respondents Paul W. Haney Kedem Capital Corp. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 18, 1996, claimant Jennifer Schapiro ("claimant") through her representative and counsel Perry Reich, Esq., of the law f