NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gregory R. Doane Case No. vs. 97-00077 Name of Respondents H.G.I. Steven Arevalo Mark Hanna John Bosco REPRESENTATION For Claimant Gregory R. Doane ("Doane") appeared Dominick J. Porto, Esq., a sole practitioner with offices located in New York, New York. Respondent H.G.I. ("H.G.I.") was not represented at the hearing. For Respondent Ste

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Prime Charter, LTD Grand Charter Group, Inc. 97-00076 Name of Respondent Robert P. Forila REPRESENTATION For claimants Prime Charter, LTD ("Prime") and Grand Charter Group, Inc. ("Grand"), (collectively "claimants") appeared David N. Mahler, Esq., in-house counsel for Prime located hi New York, New York. For respondent Robert P. Forfia ("responden

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant GaryFetman v. - -Arbitration No. 97-00072 of Respondents Monitor Investment Group Kenneth Fiiina Mark Burton Norman Lescht William Palla Michael Galasso Ron Doria Emanuel Gennuso Michael Cavallo REPRESENTATION For aaimant: Timothy N. Will, Esq. Albert & Will, LLP Torranc

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Steve and Kootela Collins and 97-00066 Name of Respondent Stratton Oakmont, Inc. Biltmore Securities, Inc. J.B. Oxford & Company Steven Barkoff Adam Friedland Edward Hull Jordan Belfort Kenneth Greene Daniel Porush Jordan Shamah Andrew Greene Steven Sanders REPRESENTATION OF PARTIES Steve and Kootela Collins ("Claimants") wer

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Patricia Venner 97-00062 Name of Respondent Josephthal Lyon & Ross Inc. REPRESENTATION Claimant Patricia Venner ("Claimant") appeared pro se. For Respondent Josephthal Lyon & Ross ("Respondent") appeared John Bersin, Esq., Associate General Counsel of Josephthal Lyon & Ross Inc. CASE INFORMATION Statement of Claim was filed on January 6, 1997. Claimant'

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jose de Guevara and Hannalore de Guevara (Claimants) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Selim S. Beyda (Respondents) Case Number: 01-01420 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jose de Guevara ("J. de Guevara") and Hannalore de Guevara ("H. de Gue

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Robert and Fran Lax Case No. 97-00061 Name of Respondents Kensington Wells, Inc. Joel Grant Mark Luxenberg Elias Tacher Salvador Tacher Steven Vornea Adam Levy REPRESENTATION OF PARTIES Claimants, Robert and Fran Lax ("Claimants'*): Timothy I. Dennin, Esq., sole practitioner, New York, NY. Respondent, Salvador Tacher ("Tacher"): ori

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00058 Curt B. Koehler, claimant v. Euro-Atlantic Securities, Inc. and Guiseppe Bonetti, respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Touchet, WA. For Respondent Euro-Atlantic Securities, Inc. appeared Robert J. Carlin - New York, NY. For Respondent Guiseppe Bonetti appeared Michael Utilla, Esq. - Brooklyn, NY. DATE FILED: January 6, 199

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00057 Benjamin Zappin, claimant vs. George Smith and Advest, Inc., respondents. ATTORNEYS: For Claimant appeared Gerald W. Simmons, Esq., of the law firm Thompson Hine & Flory, P.L.L., Cleveland, OH. For Respondents appeared in-house counsel Barry J. Kronemer, Esq., Hartford, CT. DATE FILED: January 6, 1997. CASE SUMMARY: Claimant alleged breach of fiducia

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Seymour and DeH Goldstein Case No. 97-00052 Name of Respondent Raymond, James & Associates, Inc. REPRESENTATION OF PARTIES For Claimants: Mitchell L. Perlstein. Esq., of the Investors' Law Center, P.A., Boca Raton, Florida. For Respondent: James D. Sallah, Esq. of Raymond. James & Associates, Inc., ("RJA") St. Petersburg,