N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITI5S DEALERS. INC William ^. Sanaer REPRESENTATION For Respondent: Miles Radakovich, Pacific Grove, California CASE INFORMATION 996 HEARING INFORMATION Page 1 of 3 96-00783 CASE SUMMARY Claimant alleged misrepresentations, fraua and breach of is investment in Bus Line Media riduciary duty with respect Respondent denied Claimant's allegations of wrongdoing and denied any liab

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. and Case Number 96-00781 Name of Respondent Brian Stutt REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by Barrett H. Reasoner, Esq. of Gibbs & Bruns, LLP located in Houston, TX. Respondent Brian Stutt did not file an appearance.

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Mark P. Marshall, Claimant, and No. 96-00775 J.E. LIES & Co,, Inc., Jerome E. Lias, David F. Bahr, and Tariq Kahn, Respondents, ^PRESENTATION OF PASTIES Claimant Mark P. Marshall {"Mr, Marshall") was represented by John £, Dees, Jr., Esquire, located in Dallas, Texas. Respondent J.E. Lias & Company, Incorporated ("J.E. Lisa")/ Jerome

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between: H.K Chen v. Track Securities Corporation Case Number: 00-05405 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant H.K Chen hereinafter referred to as "Claimant": Represented himself. Respondent Track Securities Corporation hereinafter referred to as " Respondent": Marshall Ian Baron of Track Securities Corporation, Brooklyn, NY. Claimant filed a Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Merrill Lvnch, Pierce. Fenner & Smith, Inc. Name of Respondents A.G. Edwards & Sons. Inc. and Thomas M. Nicholson REPRESENTATION Michael J. Fortunate, Esq. Rubin & Associates, P.C. Paoli, Pennsylvania Jeff Jamieson, Esq. A.G. Edwards & Sons, Inc. St. Louis. Missouri Peter A. Goldennng, Esq. Goldenrmg & Pro

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants WeaSun Lido Securities Corp, 96-00770 Name of Respondents Chinese & American Investments, Inc. Jimmy Woo Yu-Lin Woo REPRESENTATION For Claimants Wea Sun ("Sun") and Lido Securities Corporation ("Lido") (collectively referred to as the "Claimants") appeared Theodore A. Krebsbach, Esq., of the Firm Kittay, Gold & Krebsbach located in White Plains, New York

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Lisa A. Powell 96-00766 Name of Respondent(s) Linsco/Private Ledger Corp. Guy L. Bassini REPRESENTATION For Claimant Lisa A. Powell ("Powell"): Russell Forkey, Esq. of the law office of Russell Forkey, Esq., Ft. Lauderdale, FL. For Respondent Linsco/Private Ledger Corp. ("Linsco"): David M. Freniere, Esq. of Linsco,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Solomon and Harriet T. Klotz 96-00765 Name of Respondents Duke & Company, Inc. Lawrance A. Rosenberg Eugene Klotsman REPRESENTATION For Claimants: Lawrence M. Philips, Esq., New York, NY. For Respondent Duke & Company, Inc. ("Duke"): Steven R. Popofsky, Esq. of the law finnr of Gersten, Savage, Kaplowitz & Cuitin, LLP,

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Thomas Sarelas and Valerie Sarelas 96-00764 Name of Respondents Olde Discount Corporation; Alan Rosenberg REPRESENTATION For Claimants: Thomas Sarelas and Valerie Sarelas ("Sarelas") were represented by J. William Holland, Esq. of Holland & Holland, located in Chicago, Illinois. For Respondents: Olde Discount Corporation (

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Stanley and Leonora J. Thayer, Claimants, and No. 96-00763 Michael Lee Cooperstock, T.I. Investments, Inc., and Prudential Bache Securities, Respondents REPRESENTATION OF PARTIES Claimants Stanley and Leonora J Thayer ("Claimants") were represented by Anthony V Trogan, Jr., Esq. of Weisman, Trogan, Young & Schloss located in Bingham Farms, Michi