APP-30-98 08=23 FROM>NASD REGULATION INC ID* PAGE 2/B AWARD NASP REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between rtf Claimant Everen Securities, Inc. v. Arbitration No. 97-00051 af Respondent Lambert Vander Tuig REPRESENTATION For Claimant: For Respondent: Diane C- Fischer, Esq. Gombergt Kane & Fischer, Ltd. Chicago, Illinois No appearance CASE INFORMATION Statem

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant James Kehoe Name of Respondent FN Investment Center Arbitration No. 97-00046 For Claimant: For Respondent: REPRESENTATION James Kehoe In pro per Carefree, Arizona Eric G. Wallis, Esq. Crosby, Heafey, Roach & May Oakland, California Statement of Claim filed: Amended Statement

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Whale Securities Co., Inc. 97-00042 Name of Respondents John Plunkett, Jr. Trident Holding, LTD. REPRESENTATION For Claimant Whale Securities Co., Inc. ("Claimant") appeared David Rtchan, Esq., of the firm Tenzer Greenblatt, LLP located in New York, New York. For Respondent John Plunkett, Jr. ("Plunkett") appeared Daniel Gilden, Esq., of the firm Kaufmann,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00038 HealthComm Consulting, Inc., claimant v. Al Botello and Joseph Roberts & Co., respondents. ATTORNEYS: For Claimant appeared Wayne A. Mathews - Champaign, IL. Respondent Al Botello appeared pro-se. Respondent Joseph Roberts & Co., did not appear. DATE FILED: 1/3/97. CASE SUMMARY: Claimant alleged misrepresentation and omission of material facts. C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00037 Robert C. Calhoun, Calhoun Brothers Profit Sharing Plan and Calhoun Brothers Money Purchase Plan, claimant v. Smith Barney Inc., Dick E. Blakely and Robert H. Bell, respondents. ATTORNEYS: For claimants appeared Robert C. Calhoun - San Jose, CA. For respondents appeared Ann Parry, Esq. New York, NY. DATE FILED: 1/3/97 CASE SUMMARY: Claimants alle

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00036 Glenn L. Bezuyen, claimant v. Gregory Hilsenrath, respondent. ATTORNEYS: Claimant appeared pro se - Scottsdale, AZ. For Respondent appeared David H. Zinuner, Esq. - Potomac, MD. DATE FILED: 1/3/97 CASE SUMMARY: Claimant alleged failure to disclose, failure to provide disclosure documents; failure to provide suitability statements or company informati

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Medusa Finanz Anstalt and F&MWL Enterprises, Inc., (Claimants) vs. Sam Ramirez, Jr. and Ramirez & Co., Inc., (Respondents) Case Number: 01-01419 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Medusa Finanz Anstalt ("Anstalt") and F&MWL Enterprises, Inc. ("F&MWL"), hereinafter collectively referred to as "Claimants": David Jaroslawicz, Esq., Jaroslawicz &

\ NASD REGULATION, INC. AWARD Jn the Matter of the Arbitration Between Name of Claimant Howard Jacobs Name of Respondent PaineWebber, Inc. 97-00033 REPRESENTATION Claimant Howard Jacobs ("Claimant") appeared pro se. For Respondent PaineWebber, Inc. ("Respondent") appeared Major Kahn, Esq., in-house counsel located in Weehawken, New Jersey. CASE INFORMATION Statement of Claim filed on: January 3, 1997. Claimant's Submission Agreem

L NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Boston Group, L.P. 97-00030 Name of Respondent Patrick Joseph Carroll REPRESENTATION Claimant The Boston Group, L.P. ("Claimant") was represented by Richard P. Ryder, Esq., Maplewood, Nl. Respondent Patrick Joseph Carroll ("Respondent") represented himself. CASE INFORMATION Statement of Claim filed: Januar

AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Dean Witter Reynolds, Inc. and 97-00018 Name of Responden.t/C Qun , ter 'Claimant Robert D. Zielke REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Dean Witter Reynolds, Inc. ('Dean Witter") was represented by Mark L. Kowalsky, Esq. and Miles D. Hart, Esq. of Hertz, Schram & Saretsky, P.C