AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Otto S. Glaser. Claimant. and No. 96-05467 A.G. Edwards & Sons, Inc., Respondent. REPRESENTATION OF PARTIES Claimant. Otto S. Glaser ("Glaser") was represented by Robert E. Lapin. Esquire of Carrigan. Lapin. Landa & Wilde in Houston, Texas. Respondent, A.G. Edwards & Sons ("Edwards") was represented by Phyllis Hartrich, Esquire, at hearing, and

DEC.15.1998 1:25PM NfiSD REGULflTION FL NO.352 P.2/4 NASD REGULATION, INC. AWARD NASD Rotation, Inc.) Office of Dispute, Resolution In the M II Mr of ** Arbitration Between A. ritjft tottt A. Morrison 9W55466 hi jfnei of Respondents U.S. BosMfl Capital Corporation Leon Okunwski Nathaniel (1. Norton, III Willaid Ttapnrey REPRESENTATION For aai'iiims: Scott Taylor, Vice President of Securities Arbitration $peti*lMte, Inc., Veto Beach,

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Joseph and Joan Billy 96-05457 Name of Respondents. Scott Forman Adam Friedland Lawrence Smith Daniel Porush REPRESENTATION Claimants Joseph and Joan Billy ("Claimants") were represented by Richard W. Vallario, Esq., Nutley, NJ. Respondent Scott Forman ("Forman") was not represented at the hearing. Responde

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05454 Frank Scotti, claimant v. Sterling Foster & Co., Inc. and John Keil, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Dix Hill, NY. For Respondents Respondents were represented by Gregory M. Curley, Esq. - Huntington, NY. DATE FILED: 12/9/96 CASE SUMMARY: Claimant alleged misrepresentation and unauthorized purchase regarding st

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05451 Thomas R. Bender, claimant vs. First Hanover Securities, Inc. and Joshus Arlo Ader, respondents. ATTORNEYS: Claimant appeared Pro Se, Anchorage, AK. For Respondent First Hanover Securities, Inc., appeared in-house counsel, Charles M. O'Rourke, Esq., Garden City, NY. DATE FILED: December 9, 1996 CASE SUMMARY: Claimant alleged that the execution pr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96*05450 Leonard G. Austin and Sofia F. Austift, claimants vs. Joseph Fedorko, respondent. ATTORNEYS: Claimant appeared Pro Se, Centre Hall, PA. Respondent appeared Pro Se, Syosset, NY. DATE FILED: December 9, 1996 CASE SUMMARY: Claimant alleged omission and breach of fiduciary duty with respect to the recommended portfolio. uut Claim Data Award Data

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mark W. McClelien and 01-01383 Minneapolis, Minnesota Name of Respondents Preston Langley Asset Management, Inc. Christian W. Blake REPRESENTATION OF PARTIES Mark W. McClelien ("Claimant") appeared pro se. Preston Langley Asset Management, Inc. ("Respondent Preston Langley") did not participate in this matter. Christian W. Blake ("Respon

AWARD NASD REGULATION. INC In the matter of the Arbitration Between Name of Claimant(s) Suresh Marisetty AnithaMarisetty v. Arbitration No. %-05449 Name of Respondent(s) E*Trade Securities, Inc. REPRESENTATION For Claimants: - Suresh Marisetty San Jose, California For Respondent: Mark T. Drooks, Esq. Bird, Marella. Boxer & WoJpert Los Angeles, California CASE INFORMATION Statement of Claim filed: December 9, 1996

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05448 Erwin N. and June E. Schwartz, claimants v. Christopher Mormando and Norfolk Securities Corp., respondents. ATTORNEYS: Claimants appeared pro se - Cottonwood, MN. Respondents did not appear. DATE FILED: 12/9/96. CASE SUMMARY: Claimants alleged unauthorized purchase of 750 shares of JJFN SVCS Inc. Claim Data Award Data Claim: $5,312.50 Award

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In-the Matter of the Arbitration Between Name of Claimant Abed Hishmeh 96-05442 Name of Respondents LaJolla Capital Corporation Patrick T. Montague REPRESENTATION Claimant Abed Hishmeh ("Claimant") was represented by John P. Lynch, Esq., McNamee, Hosea, Jemigan & Kim, Greenbelt, MD. Respondents LaJolla Capital Corporation ("LaJolla") and Patrick T. Mont