AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant's) Anthony Alvarado Lorraine Alvarado v. Arbitration No. 96-04571 Name of Respondents) The Trading Desk, Inc. Jerry Manning For Claimants: Scot Bernstein, Esq., Sacramento, California. >JvUbJ^;^f^^i^^ , Esq;, Slivka; obirison,Waters- Colorado. CASE INFORMATION Statement of Claim filed on October 14, 1996.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04562 Sidney & Bernice Davis, claimants v. State Street Capital Markets Corp., respondent. ATTORNEYS: Claimants appeared Pro Se., Hollywood, FL. For Respondent Respondent appeared Pro Se through John Doukas - New York, NY. DATE FILED: October 14, 1996. CASE SUMMARY: Claimants alleged respondents failed to follow instructions in the sale of warrants and

Q NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between ^ DEC t U 1957 Name of Claimant i : L A.\^s ; < t, , JW Charles Clearing Corp. 96-04561 Name of Respondent Vincent W. Butkevrts, 111 REPRESENTATION OF PARTIES For Claimant JW Charles Clearing Corp. ("JWC"): QregoryTendrich. Charles Clearing Corp,, Boca Raton, FL n^nes For Respondent Vincent W. Butkevfts, III ("VB"): L Van Stillm

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David L. Lanter 96-04560 Name of Respondent H.J. Meyers & Co., Inc. REPRESENTATION For Claimant: Dan Brecher, Esq. and Eric Ross, Esq.. Fischbein, Badillo, Wagner. Harding. New York. NY For Respondent: James C. Cosby, Esq., Maloney, Huennekens, Parks, Gecker & Parsons, Richmond, VA CASE INFORMATION' Statement of Claim filed: October 14, 1996 •••

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Estate of Howard G. Brown 96-04559 Name of Respondents A.G. Edwards & Sons, Inc. John F. Golden REPRESENTATION For claimant Estate of Howard G. Brown ("claimant") appeared John R. Blake, offices Bowditch & Dewey located in Worcester, Massachusetts. F Xcolctively "fesporkie^) ^pearecT ^Villiam S. Port, Esq., Associate Vice Litigation Counsel for A.C. Edwar

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Conner 96-04557 Name of Respondent Bidwell & Company CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 14, 1996, claimant Steven Conner ("claimant"), who appeared Pro Se, alleged that respondent Bidwell & Company ("Bidwell") violated federal law by hol

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant William J. Turkowski 96-04555 Lew Lieberbaum & Co., Inc. Brian T. McCluskey Robert Wetzel REPRESENTATION Claimant William J. Turkowski^("claimant") appeared^prose. Prior to the hearing in this matter claimant withdrew with prejudice all claims against respondent Lew Lieberbaum & Co., Inc. ("Lew Lieberbaum"). Therefore, no representative appeared at the hearin

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between . Name of Claimant F. Paul Belk, Jr. 96-04553 Name of Respondents Steven Vornea Name of Third-Party Respondents Abraham Mirman Denny Darmodihardjo REPRESENTATION For Claimant F. Paul Belk, Jr. ("Claimant") appeared J. Pat Sadler, Esq., of the law offices of Sadler & Associates, P.C., Atlanta, GA. - For Respondent Steven Vorn

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Larry, Carole, Rainy, Randy & Wendy Waitz 96-04548 Name of Respondents Prudential Securities, Inc. James Fulton REPRESENTATION Claimants Larry, Carole, Rainy, Randy & Wendy Waitz (collectively "Claimants") were represented by Thomas J. Schuchen, Esq., Schuchert Humphreys, Pittsburgh, PA. Respond

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants D. Vincent Cerrito and Theresa Fe McCarthy vs. #96-04542 Name of Respondents Daniel M. Porush Ira Boshnack REPRESENTATION OF PARTIES Claimants D. Vincent Cerrito and Theresa Fe McCarthy ("Claimants") were represented by Timothy J. O'Connor, Esq., Ainsworth Sullivan Tracy Knauf Warner & Ruslander, PC, Albany, NY. Respondents