N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05629 Leonard A. DeGrendale, IRA, claimant v. A.G. Edwards & Sons, Inc., Walter Howerton and Jeffrey Sutton, respondents. ATTORNEYS: For Claimant Leonard A. DeGrendale appeared pro se - Tucson, AZ. For Respondents appeared Phyllis Hartrich, Esq. - St. Louis, MO. DATE FILED: 12/19/96. CASE SUMMARY: Claimant alleged unsuitability in the purchase of Carri

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barney K Hayes 96-05624 LaJolla Capital Corp. Larry Todd Kelly Paul Vincent Pintor Emmett A. Larkin & Co., Inc. B.J. Gallison Lee Swift Kyle Rowe Janice Schultz REPRESENTATION OF PARTIES For Claimant: Steven M. Green, Esq., Law Offices of Steven M. Green, San Diego, California. For LaJolla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brookstreet Securities Corp., Claimant and Counter-respondent v. Amanda Makki, Respondent and Counterclaimant Case Number: 01-01403 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-respondent; Elizabeth Lowery Fields, Fehn, & Sherwin Los Angeles, California For Respondent/Counterclaimant: Laurie J. Butler Tourtelot & Butler Los Ang

AWARD NASP REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Joyce Kossack, Trustee-The Kossack Survivors Trust and The Kossack Marital Trust, Joseph G. & Eileen Milstein, JTWROS, and Joseph G. Milstein, IRA v. Arbitration No. 96-05619 Consolidated with 96-05620 Name of Respondents Lazar Frederick and Co., and Betty Rubin REPRESENTATION For Claimant Joyce Kossack: Joyce Kossack

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05617 Dean Witter Reynolds, Inc., claimant v. Emilio Fagundo and Emilio Alvarez d/b/a Caribest Import, respondents. ATTORNEYS: For Claimant Dean Witter Reynolds, Inc. appeared Thomas J. Hanrahan, Esq., Glen Rock, NJ Respondent Emilio Fagundo did not file a Statement of Answer Respondent Emilio Alvarez d/b/a Caribest Import did not file a Statement of Answe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05615 Robyn Keil, claimant v. Bear Stearns & Company, Lew Lieberbaum & Co., Inc. and Richard Singer, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Hicksville, NY. For Respondents appeared Lawrence Sander, Esq. - Garden City, NY DATE FILED: 12/18/96. CASE SUMMARY: Claimant alleged unauthorized sale of stock for Response USA, Inc. and

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05614 Ruth Koretsky, claimant v. Nutmeg Securities Ltd. and Jeff Ansted, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Sylvania, OH. For respondent Nutmeg Securities, Ltd. appeared R. Sherman Jent - Westport, CT. Respondent Jeff Ansted appeared pro se - Westport, CT. DATE FILED: 12/18/96. CASE SUMMARY: Claimant alleged liquidation of

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05613 Intervivos Irrevocable Trust of Harold Reich, claimant vs. Greenway Capital Corp., respondent. ATTORNEYS: Claimant appeared Pro Se through its Trustees Harold Reich and Chaya Reich, Israel. Respondent Greenway Capital Corp. did not respond to the Statement of Claim. DATE FILED: December 18, 1996 CASE SUMMARY: Claimant alleged that he sustained a loss whe

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the arbitration between Name of Claimant Steve L. Greenberg VS. NASD # 96-05611 Name of Respondents Tripp & Co., Inc. Steven L» Frank Donald L. carman Kevin O'Connor REPRESENTATION For Claimant Steve L. Greenberg ("Claimant"), Daniel J. Brooks, Esq. and Eamonn F. Foley, Esq. of Layton Brooks & Hecht, 745 nftti?. Avenue, New York, New York.

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfsl Philip G. Heyde V Arbitration No. 96-05605 Name of Respondent^ Capitol Bay Securities, Inc. Steven W. Ricketts Stephen C. Kircher REPRESENTATION For- Claimant: Matthew V. Brady. Esq. Sacramento. California For Respondents Capitol Bay Securities and Stephen C. Kircher: Stephen M. Harris. Esq. Knapp }