N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Babula, as Custodian for David Babula 96-03299 Name of Respondents Janney Montgomery Scoti Inc. William J. Pearce CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 1, 1996, claimant Bruce Babula, as custodian for David Babula ("claimant"), who appeared Pro Se,

NASD AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Allen F. Secor Donald Puff 96-03295 Name of Respondents Legend Equities Corporation Legend Investment Management, Inc. REPRESENTATION For Claimants Allen Secor and Donald Puff ("Claimants"): John E. Lawlor, Attorney at Law, Mineola, NY. For Respondents Legend Equities Corporation and Legend Investment Management,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Warren C. Gearrick 96-03293 Name of Respondents Dean Witter Reynolds Inc. William Piontek REPRESENTATION For Claimant Warren C. Gearrick ("Claimant") appeared Terrence Tormey, Esq. located in Hazlet, New Jersey. For Respondent Dean Witter Reynolds Inc. ("Respondent Dean Witter") appeared Laura Ro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation 96-03274 Name of Respondent Thomas L. Gray CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, Inc. on July 31, !996, claimant Olde Discount Corporation (referred to as "OLDE" or "claimant") through its representative and in-house counsel Steven D. Carby, Esq. a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC In the Matter of the Arbitration Between Name of Claimant Hugh W. Brock 96-03273 Name of Respondent Jason MacKenzie Securities, Inc. CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on July 31, 1996, claimant Hugh Brock ("claimant 11 ), who appeared Pro Se, alleged that in the fall of 1994, he made a phone cal

NASD Regulation, Inc.. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Maynard Zinn and 96-03269 pf Resondent Sovereign Equity Management Corp., Mark Trykowski, and Alex Rivera REPRESENTATION OF PARTTEft Maynard Zinn ("Claimant") was represented by Edward Russey III, Esq., Irvine, California. Sovereign Equity Management Corp. ("SEM"), Mark Trykowsky ("Trykowski"), and Alex Rivera ("Rivera">vere repr

Arbitration & Mediation National Association of Securities Dealers, Inc. * 515 E. Las Olas Boulevard * Suite 1 100 * Fort Lauderdale, FL 33301 * Phone 954-522-7391 * Fax 954-522-7403 * NASD Regulation, Inc. AWARD Office of Dispute Resolution In thp Maftpf nf thp Arhitrafinn Name of Claimant Douglas Shapiro and 96-03267 Name of Respondent PaineWebber, Inc. Ira P. Cohen Lucille Weist Merrill Lynch Pierce Fenner & Smith, Inc. REPRES

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant The O'Leary Family Revocable Trust 96-03265 Name of Respondents Bear Stearns & Company George Jackson Montgomery, II REPRESENTATION For claimant The O'Leary Family Revocable Trust, David Tachau, Trustee ("claimant") appeared R. Gregg Hovious, Esq., of the law offices Tachau, Maddox, & Hovious, PLC located in Louisville, Kentucky. For respondents Bear Stearns

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Citicorp Investment Services Name of Respondent Jamie Valinoti 96-03263 REPRESENTATION Claimant Citicorp Investment Service ("Claimant") appeared Lisa F. Smith of Zeichner Ellman & Krause, New York, NY Respondent Jamie Valinoti ("Respondent") attended the first hearing date and represented himself. Respondent did not attend the November 17, 1998 hearing

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Barbara L. Smith, Claimant v. Richard Lee Tidwell and Legend Equities Corporation, Respondents and related Crossclaim Case Number: 00-05146 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Mark Steven Kessler, Esq. Law Offices of Mark Steven Kessler Escondido, California For Respondent Richard Lee Tidwell: Richard Lee Tidwell In Pro