AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Larry Paletz Anglo American Corporation v. Arbitration No. 96-01061 Name of Respondents Smith Barney, Inc, Anthony BJ. Black REPRESENTATION OF PARTIES Larry Paletz and Anglo American Corporation ("Claimants") were represented by H. Thomas Fehn, Esq., Fields Fehn & Sherwin, Los Angeles, California. Smith Barney, Inc

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Michael Anisimov, Marina Stein and Slavik Stein a.k.a. Stanley Stein v. Name of Respondents Baraban Securities Corporation and Roman Reznik Arbitration No. 96-01059 For Claimants: For Respondents: REPRESENTATION William W. Bloch, Esq. McMillan & Bloch Beverly Hills, California Robert A. Uhl Robert A

N.A.S.I). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants') Louis R. Gallovich and Frances Gallovich Name of Respondents) Advantage Capital Corporation and Robert Louis Hesslink NASD Arbitration No. 96-01058 REPRESENTATION For Claimant: For Respondent Advantage Capital Corporation: For Respondent Robert Louis Hesslink: Raymond Gaitan, Esq. Gaitan & Parks Orange

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: Q1-01168 George R. Yetter and Anna L. Yetter Names of the Respondents Hearing Site: Tampa, FL Preferred Securities Group, Inc. Theodore Kaprel Malkasian Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For George R. Yetter and Anna L. Yetter, hereinafter collectively referred to as "Claimants":

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Peter and Jeanne M. Celiberti 96-01053 Name of Respondents Daniel Porush James Kelly REPRESENTATION Claimants Peter and Jeanne M. Celiberti ("Claimants") were represented by Timothy J. Dennin, Esq., New York, NY. Respondent Daniel Porush ("Porush") was represented by Mark E. Gelfand, Esq., Great

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Prudential Securities, Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-01050 Name of Respondents Roger Sabbah REPRESENTATION For Claimant: Steven P. Gomberg Gomberg, Kane & Fischer, LTD. Chicago, Illinois For Respon

AWARD NASD REGULATION INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. v. Name of Respondent Ronald S.Wenig Arbitration No. 96-01044 REPRESENTATION For Claimant: For Respondent: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Answer to Counter-Claim filed by Claimant: Statement of Answer and Counter-Claim filed b

NASD REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Steven and Alexandra Shiekman 96-01038 Name of Respondents Prudential Securities, Inc. Lehman Brothers, Inc. William J. Beaton, ffl REPRESENTATION For Claimants Steven and Alexandra Shiekman ("Claimants"): Scott L. Warfman, Esq. of Warfman and Bloom, P.A., Miami, Florida. For Respondent Prudential Securities, Inc. ("Prudential

N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Roland Carlson and Rosemary Carlson 96-01033 Name of Respondents Stratton Oakmont, Inc.; Irving Stitsky; Jordan Shamah REPRESENTATION For Claimants: Roland Carlson and Rosemary Carlson ("Carlson") were represented by Matthew D. Wayne, Esq. of Fishman & Merrick, P.C., located in Chicago, Illinois. For Responden

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. v. Name of Respondent John D. Williams, Jr. NASD Regulation, Inc. Arbitration No. 96-01029 For Claimant: REPRESENTATION Michael A. Kraft, Esq. Gomberg Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Statement of Claim filed: John J. Kendrick, Jr., Esq. Kendrick