Award NASD Regulation, Inc. In the Matter of the Arbitration Between: First Southwest Company ("Claimant') vs. Joseph Roberts & Co., Joseph F. DeSanto and Robert DiMarco ("Respondents") Case Number: 96-05603 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, First Southwest Company ("First Southwest") Cheryl Jerome Moore, Esq.: Arter & Hadden, Dallas, Texas. Respondent, Joseph F. DeSanto ("DeSanto"): Gregg J. Bre'rtbart, Esq.,

/ AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Prudential Securities Inc., Claimant, and No. 96-05602 William O. Alexander, Respondent. * REPRESENTATION OF PARTIES Claimant, Prudential Securities Incorporated, was represented by Mr. Michael A. Kraft, Esquire of Gomberg Kane & Fischer, Limited. Respondent, Mr. William O. Alexander, was not represented in pleadings or at the hearing in this

NASD REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of an Arbitration between: Lars-Erik Jonsson NASD NO. 96-05601 Claimant, v. Stratton Oakmont, Inc., Daniel Porush, Leonard Dunn, Jordan I. Shamah, Patrick Gerard Hayes, Howard Scott Gelfand, Mathias Valentine Tiffert, Steven P. Sanders, Robert William Koch, Keith L.J. Connolly and Todd Haufler -- • • Respondents. •-••• REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sophie Geraghty, (Claimant) vs. Copeland Equities, LLC, Sentra Securities Corporation, and Jeffrey Scott Sloan, (Respondents) vs. First Matrix Financial Services Corp. (Third-Party Respondent) Case Number: 01-01400 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sophie Geraghty, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., a sole practiti

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard W. Bamerick Trust and 96-05596 Name of Respondent Shearson Lehman Brothers, Inc. D.E. Frey & Co., Inc. James F. Glaza Name of Third Party Respondent Richard W. Bamerick REPRESENTATION OF PARTIES Richard W, Bamerick Trust ("Claimant") and Richard Bamerick, individually^ were represented by Daniel T. Moyle, Esq

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION * \ - \ 'J In the matter of the Arbitration Between Name of Claimant Val Harris v. Arbitration No. 96-05595 Name of Respondents Bidwell & Company Jerry Bidwell REPRESEJNtAtlON OF PARTIES Val Harris ("Claimant") represented himself, pro se. -iris Bidwell & Company and H. Gerald Bidwell ("Respondents") were represented by David £lark, Bidwell & Company, Portland, Oregon.

flUG.10.1998 9=34ftM NPSD REGULflTION FL r NO.990 P.21 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joseph and Edna Malamut Case No. 96-05590 Names of Respondents American Trust Securities Corp. Laurence Winstanley Donald Wasserman REPRESENTATION OF PARTIES For Claimants: Arnold Y. Steinberg, Esq, of the law firm of Arnold Y. Steinberg, P.C., Fort Lauderd

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Morris Bryans Case No. vs. 96-05586 Name of Respondents JosephthaJ Lyon & Ross Inc. Brian Corday REPRESENTATION For Claimant, Norris Bryans ("Claimant"), Gerald B. Kline, Esq., from the law firm of Sims Moss Kline & Davis, LLP., located in Atlanta, Georgia. For Respondents, Josephthal Lyon & Ross, Inc. ("JLR"), and Brian Corday ("Corday") (collectiv

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Christian A. Walkowicz 96-05585 Name of Respondent Laidlaw Equities, Inc. REPRESENTATION For Claimant Christian A. Walkowicz ("Claimant") appeared Kevin P. Conway, Esq., of the firm Conway & Conway, located in New York, New York. For Respondent Laidlaw Securities, Inc. ("Respondent") appeared Edward Werner, Esq., with offices located in Jackson, New Jer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05583 Elliott W. Weinstein, claimant v. Merrill Lynch Pierce Fenner & Smith Inc, Thomas Philips, David Buchanan, Mark Brennan and Marie A. Vavra-Coleman respondents. ATTORNEYS: Claimant appeared pro se - York, PA. For Respondents appeared Christopher D. Cavuoti, Esq. - New York, NY. DATE FILED: 12/1 7/96 CASE SUMMARY: Claimant alleged unauthorized trading