- N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05074 Edward and Esther Muldoon, claimants v. Norfolk Securities Corp. and Nicholas A. Brigand, respondents. ATTORNEYS: Claimants appeared pro se - South Plainfield, NJ For Respondent Nicholas A. Brigand Michael H. Ference, Esq. - New York, NY. Respondent Norfolk Securities Corp. did not appear. DATE FILED: November 14, 1996. CASE SUMMARY: Claima

_!—JUL. 7.1999^1-.:3 lftM - N0.132 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Comprehensive Capital Corporation Nape of Respondent Mkhad Vincent Scillia 96-05073 REPRESENTATION For Claimant Comprehensive Capital Corporation ("Comprehensive"): Howard N. Kahn, Esq. of Kramer, Grten, Zuckerman, Kahn «Sc Greene, P.A., Hollywood, Florida. For Respondent Michael Vincent Scillia ("Sciffia")

REGULATION. T*JC-- OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Davood Khalili Arbitration No. 96-05070 Name of Respondent, (s) E*Trade Securities, Inc. For Claimant: Davood Khaiili, Santa Clara, California > For Respondent: Tamikp Moore, Esq., E*Trade Securities, Inc., Palo Alto, California , ] CASE INFORMATION Statement of Claim filed: November 14, 1996 Claimant's Submission Agreement .s

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Kalman and Sara Fainzylber Name of Respondent Oscar Echman REPRESENTATION Claimants Kalman and Sara Fainzylber ("Claimants") appeared pro se. Respondent Oscar Echman ("Respondent") appeared pro se. CASE INFORMATION Statement of Claim filed on: November 13, 1996. Claimants'Submission Agreement signed on: November 25, 19%. ia;rnrj Statement of Answer filed by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Soraya Namay and Names of Respondents McDonald Investments, Inc. Rita Mansour, and James Porea Case Number: 01-02226 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Soraya Namay ("Claimant") was represented by Michael Huberman, and Seth Huberman, Esq., Michael Huberman & Associates, La Quinta, California. McDonald Investments,

NASD REGULATION, INC. - AWARD In the Matter of the Arbitration Between Name of Claimant Worldco, LLC Case No. 96-05066 Name of Respondent Hayim Ashen Regensberg REPRESENTATION Claimant Worldco, LLC ("Claimant") was represented by Thomas McCabe, Esq. of the Law Offices of Thomas J. McCabe, New York, NY. Hayim Ashen Regensberg ("Respondent") did not appear. CASE INFORMATION Claimant's Statement of Claim was filed on November 13, 1996.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 96-05063 Jeffrey E. Marcus, claimant v. Pacific Brokerage Services Inc., respondent ATTORNEYS: For Claimant Claimant appeared Pro Se. - New York, NY For Respondent Appeared James Kruger of Pacific Brokerage Services, Inc. - Los Angeles, CA DATE FILED: November 13, 1996. CASE SUMMARY: Claimant alleged error made in execution of option purchase. Claim D

NASD REGULATION, IMC. In the matter of the Arbitration Between Name of Claimant(si Ronald Tracy Consolidated Arbitration Case Numbers 96-05062 and 96-05255 Name of Respondent(si Dain Bosworth Incorporated RE PRE SENTATIQN For Ronald Tracy: Scott A. Shorr, Esq. and Keith A. Ketterling, Esq., Stoll Stoll Berne Lokting & Shlachter P.C., Portland, Oregon For Dain Bosworth Incorporated: Ronald P. Kane, Esq. , Gomberg Kane & Fische

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05056 PaineWebber, Inc., claimant vs. Leo Ancefsky, respondent. ATTORNEYS: For Claimant appeared in-house counsel, M. Major Khan, Esq., Weehawken, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: November 13, 1996. CASE SUMMARY: Claimant alleged that respondent breached the terms of the Promissory Note by failing to repay an employee fo

-DEC. 7.1998 2 : 3 0PM NASD REGULATION PL N0 . 574 N.A.S.D. REGULATION, INC. AWARD NASD Re Eulation, Inc., Office of Dispute Resolution ^ \ In the Mncr of the Arbitration Between Hosbedar Methta 96-05055 Names of liespondems PCM Sec cities Ltd., n/k/a Royal Palm Investments, Ltd. For Clatrunt; Russell L. Forkey, Esq. of the law firm of Russell L. Forkey, P. A., Fort Lauderdale, Florida, For Respondent Ira Dicapua