NASD .REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Mark A. Lang John F. Lang 96-04293 Name of Respondents Curtis Marchand L. C. Wegard REPRESENTATION Claimants Mark A. Lang ("Mark Lang 11 ) and John F. Lang ("John Lang") (collectively referred to as "Claimants") appeared pro se. For Respondent Curtis Marchand ("Marchand") appeared Gene R. Thornton, Esq., of the law office Gene R. Thorn

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Michael Allen Case No. 96-04291 Name of Respondent CS First Boston Corporation REPRESENTATION Michael Allen ("Claimant") was represented by Gordon B. Spivack, Esq. of the law firm of Coudert Brothers, New York, New York. CS First Boston Corporation ("Respondent") was represented by Kathleen M. Comfrey, Esq. of the law firm of Shearman & Sterling, New York,

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Harvey Doyle Seymour 96-04290 Name of Respondents Sean Beard Anthony Antonucci Nationwide Securities, Inc. REPRESENTATION The claimant, Harvey Doyle Seymour, appeared Pro Se. For Respondents Anthony Antonucci ("Antonucci") and Sean Beard ("Beard") appeared M. David Sayid, Esq. of Sayid & Associates, located in Hackensack, N.J.

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Lyle E. Borop 96-04288 Name of Respondents Toluca Pacific Securities Corp.; Paul T. Fiorini; and Thomas John Gucciardo REPRESENTATION For Claimant: Claimant Lyle E. Borop ("Borop") was represented by Randall M. Lending, Esq. and James A. Arpaia, Esq. of Vedder, Price, Kaufman & Kamholz, located in Chicago, Illinois. For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor M. Preisler and Stacy A. Preisler, Claimants v. Benson York Group, Inc., Gregory E. Goldstein, Michael H. Caldera, Steven J, Cohen, and Bradford A. Miller, Respondents Case Number: 01-02141 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Lawrence L. Klayman, Esq. Klayman, Lazarus & Toskes, P.A. Boca Raton, Florida For Responde

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Gregory J. Andro and Iva Andro, Claimants, and No. 96-04282 Sterling Foster & Co., Inc., and Doug Magnuson, Respondents. REPRESENTATION OF PARTIES Claimants, Gregory J. Andro and Iva Andro, were represented pro se. Respondents, Sterling Foster & Co., Inc. and Doug Magnuson, were represented by Justin Sacca, Esquire, of the law offices of Joseph D'El

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution ts I °j ^ In the Matter of the Arbitration Between Name of Claimant Ivan Valtchev 96-04273 Name of Respondent National Discount Brokers REPRESENTATION Claimant Ivan Valtchev ("Claimant") was represented by Andrew P. Siff, Esq., Attorney at Law, New York, NY. Respondent National Discount Brokers ("Respondent") was represented by Douglas P. Lobel, Esq., of the law firm of Kelley

MPY.26.1998 3:38PM HflSD REGLLfiTION FL NO. 986 P. 7 N.A.SD. AMENDED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between 1 fJama < tf flpnanta Jay Liebman Bella Liebman (deceased) 96-04272 Smith Barney, Inc. Roger Fazquhar Randall Hutchisson, Jr. Frank Pagnotta Jamas Dimon Judy Maxineau REPRESENTATION For Claimants: Jay Liebman appeared for the Claimants. For Respondents: A

v\ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay Liebman Bella Liebman (deceased) 96-04272 Name of Respondents Smith Barney, Inc. Rodger Farquhar Randall Hutchisson, Jr. Frank Pagnotta James Dimon Judy Maxineau * REPRESENTATION For Claimants: Jay Liebman appeared for the Claimants. For Respondents: Ann Parry, Esq. of Smith Barney, Inc., New

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between SarojaL. and Lalitchandra G. Ranpura Case Number v. 96-04269 Prudential Securities, Inc. REPRESENTATION SarojaL. Ranpura and Lalitchandra G. Ranpura ("Claimants"), appeared pro se, with SarojaL. Ranpura representing Claimants. Prudential Securities, Inc. ("Respondent" or "Prudential") was represented by Gerard J. Kowlaski, Esq., in-house counsel, located in New York, New York.