01/15/99 FRI 13:51 FAX NASD REGULATION il002 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gary E. Domke and . 96-04183 "Nfame of Respondents Prudential Securities, Inc., Eugene Ingargiola, David Jacobsmeyer, Tim Collins, Lee Naas, Alan Miller, and Marshall Weisman OF PARTIES Gaiy E. Domke ("Claimant") was represented by David O. Kreuter, Esq., of Kreuter & Gordon, P.C., St. Lou

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Ryan, Beck & Co. v. Arbitration No. 96-04177 Name of Respondent The Chai Center v. Name of Third-party Respondent David Stefansky REPRESENTATION For Claimant and Counter-Respondent Ryan, Beck & Co. and Third-party Respondent David Stefansky: John L. Van Horne, in, Esq. Reeve & Van Horne Englewood, New Jersey For Respondent, Count

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Sadie Dietz and Sheila Lustbader 96-04174 Name of Respondents J.B. Hanauer & Co. Security Pacific Marine Midland Bank REPRESENTATION Claimant Sadie Dietz appeared pro sg. Claimant Sheila Lustbader did not appear. For Respondent J.B. Hanauer & Co. ("J.B. Hanauer"): Greg Plifka, Executive Vice President of J.B.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Pamela S. Tadiello, Individually and as Trustee of the Pamela S. Tadiello IRA Account Claimant, and No. 96-04173 The Principal Financial Group, Robert Hayes, and David T. Aldridge Respondents. REPRESENTATION OF PARTIES Claimant, Pamela S. Tadiello, Individually and as Trustee of the Pamela S. Tadiello IRA Account (Tadiello") was represented by K

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. in the Matter of the Arbitration Between Name of Claimant Daniel W. DeLuca 96-04165 Name, of Respondents Prudential Securities Inc Michael Appelbaum CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 18. 1996, claimant Daniel DeLuca ("claimant"), who appeared Pro Se, alleged that respondents Pruden

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John F. Hopkins, Sr. 96-04163 Name of Respondents G.R. Stuart & Company, Inc. Greg R. Stuart REPRESENTATION For Claimant John F. Hopkins, Sr. ("claimant") appeared Derek Hopkins. For Respondents G.R. Stuart & Company, Inc. and Greg R. Stuart ("respondents") appeared Greg R. Stuart, CASE INFORMATION Statement

\ Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02136 ' Rizwan Rehman Names of the Respondents Hearing Site: Boca Raton, FL First Liberty Investment Group, Inc. Casey Ryan Burt REPRESENTATION OF PARTIES For Rizwan Rehman hereinafter referred to as "Claimant": David A. Weintraub, Esq., Ft. Lauderdale, FL. For Respondent First Liberty Investment Group, Inc. ("FLT): W. Gresham Cooney, Presiden

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name o Prudential Securities Inc. v. Arbitration No. 96-04158 esondent Gary E. Larimer REPRESENTATION For Claimant: William M. Cassarini, Esq., Prudential Securities Inc., New York, New York For Respondent: Adam Levine, Esq., Law Office of Daniel Marks, Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: September 18, 1996

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Thomas J. Hughes 96-04155 Namq of Respondents Bernard Herold & Co., Inc. Mario J. Giammarco CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on September 18, 1996, claimant Thomas J. Hughes ("Claimant"), who appeared Pro Se, averred that he maintaine

AWARD NASD REgQIATIQN. INC.. OFFICE OP DISPUTE RESOLUTION In the matter of the Arbitration Between Name, of Claimant fs) Sutro & Co., Inc. Arbitration NO. 96-04154 Name of Respondent fa) Raymond Bramer REPRESENTATION For Claimant: Elizabeth S. Saleveson, Esq. and Barbara Smith, Esq., Howard, Rice, Nemerovski, Canady, Falk & Rabkin, San Francisco, California For Respondent: Richard E. Levine, Esq., Levine & Skigen, San Francisco,