Award NASD Dispute Resolution In the Matter of the Arbitration Between: Guy De Lacrose, Claimant v. Kami Khatounabadi, Andrew S. Louis and Hampton-Porter Investment Bankers, Respondents Case Number: 01-02125 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: James J. Seltzer, Esq. Emeryville, California For Respondent Kami Khatounabadi: Kami Khatounabadi San Diego, California For Respondent Andrew S. Louis; Andre

I N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Anthony W. and Katharine Schweiger 96-02652 Name of Respondent Jordan Shaman REPRESENTATION Claimant's Anthony W. and Katherine Schweiger ("Claimants") were represented by Neal A. Jacobs, Esq., Blank, rome, Comisky & McCauley, Philadelphia, PA. Respondent Jordan Shamah ("Respondent") did not appea

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Esteban and Sonia Monell 96-02651 Name of Respondents Nations Securities Larry S. Kartin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1996, claimants Esteban and Sonia Monell ("claimants") through their representative and in-house counsel, Jeff Cahn of Investment Arbitration Consultants,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard D. Larson and 96-02639 Name of Respondent Bear Stearns & Company, Inc. Michael Jay Margolis REPRESENTATION OF PARTIES Richard D. Larson ("Claimant") was represented by J. Pat Sadler, Esq. and Eric R. Hovdesven, Esq. } Sadler & Associates, P.C., Atlanta, Georgia and William S. Lapp, Esq., Lapp, Laurie, Libra, Abra

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jill C. Sharkey and 96-02637 Name of Respondent American Express Financial Advisors, Inc. REPRESENTATION OF PARTIES Jill C. Sharkey ("Claimant") appeared pro se. American Express Financial Advisors, Inc. ("Respondent") was represented by Mark A. Mitchell, Esq., Rider, Bennet, Egan & Anmdel, L.L.P., Minneapolis, Minnesota. CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ctaimant(s) Richard Scharff 96-02635 Name of Respondent(s) Fidelity Brokerage Services, Inc. REPRESENTATION Claimant Richard Scharff ("Scharff") appeared pro se. For Respondent Fidelity Brokerage Services, Inc. ("Fidelity"): Scott M. Diamond, Esq. of Morgan, Lewis & Bockius, LLP, Miami, Florida CASE INFORMATION Statement of Clai

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Elan Investment Services, Incorporated, Firstar Bank Iowa, N. A.,and Firstar Insurance Services, Incorporated and Case Number 96-02631 Name of Respondent Barbara Kazma REPRESENTATION OFPARTIES Claimants Elan Investment Services, Inc., Firstar Bank Iowa, N.A. and Firstar Insurance Services, Inc. were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Cann 96-02629 Name of Respondents Gregory D, Mirakian Investors Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 18, 1996, Claimant John Cann (''Claimant 11 ) who appeared Pro Se, alleged that on January 19, 1996, without his authorization, Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marshall Lester 96-02627 Name of Respondent Smith Barney Shear son, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 18, 1996, claimant Marshall Lester ("claimant"), who appeared Pro Se, alleged that respondent Smith Barney Shearson, Inc. ("Smith Barney") failed to d

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Steven Wallitt vs. Case No. 96-02625 Name of Respondents Landmark International Equities and Dominick Diorio REPRESENTATION OF PARTIES Claimant Steven Wallitt ("Claimant") appeared pro-se. Respondents Landmark International Equities ("Landmark") and Dominick Diorio ("Diorio"): Respondents did not appear. CASE INFORMATION Statement of Claim filed on