N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01933 Ralph R. Vanderlinde and Yingtao Gan Vanderlinde, Ten. Comm., claimant vs. Kennedy Cabot & Co. and Waterhouse Securities, Inc., respondents. ATTORNEYS: Claimants, Ralph R Vanderlinde and Yingtao Gan Vanderlinde, Ten. Comm. ("Claimants"), appeared Pro Se., La Puente, CA. For Respondents, Kennedy Cabot & Co. and Waterhouse Securities, Inc. ("Respondents"),

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dezso Ladanyi and Alice R. Ladanyi, Claimants Case Number. 99-01914 Vs. Hearing Site: Cleveland, Ohio Merrill Lynch Pierce Fenner & Smith, Inc., and Ted W. Goble, Respondents. REPRESENTATION OF PARTIES Gail E. Sindell, Esquire, of Kaufman & Cumberland, Cleveland, Ohio, represented Claimants Dezso Ladanyi and Alice R. Ladanyi ("Ladanyi"), hereinafter collect

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louis Smith and Paul Zavell, Claimants Vs. Preston. Langley Asset Management, Inc., Christian W. Blake, and Gregg Adams, Respondents. Case Number: 00-03499 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Roger W. Van Deusen, Esquire, of Chattman, Gaines & Stern, Cleveland, Ohio, represented Claimants Louis Smith ("Smith") and Paul ZaveU ("Zavell

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Lloyd Beirne David Davidson Case No. 99-01913 Names of Respondents First Liberty Investment Group Christian L. Emenente Steven J. Dapuzzo Dorothy J. Hankinson James W. O'Connor REPRESENTATION OF PARTIES For Lloyd Beirne ("Bierne") and David Davidson ("Davidson"), hereinafter collectively referred to as "Claimants": Herbert M. Jacob

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATIONJNC, CASE: #99-1912 OLDE Discount Corporation, claimant vs. Excell Marks, respondent. ATTORNEYS: For Claimant, OLDE Discount Corporation, appeared in-house counsel Aaron L. Kleid, Esq., Detroit, MI. Respondent, Excell Marks, did not respond to the Statement of Claim. DATE FILED: April 26, 1999 CASE SUMMARY: Claimant alleged that respondent failed to pay for purchase of 1,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation, (Claimant) vs. Giuseppe Valentino, (Respondent) Case Number: 99-01907 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Olde Discount Corporation, hereinafter referred to as "Claimant": Aaron L. Kleid, Esq., Staff Attorney, Olde Discount Corporation, Detroit, MI. Respondent, Giuseppe Valentino, hereinafter referred to as "Responden

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Inc., (Claimant) vs. Milton Budoff, (Respondent) Case Number: 99-01904 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter referred to as "Claimant": Bryan G. Killian, Esq., Morgan, Brown & Joy, LLP, Boston, MA (Mr. Killian was with the law firm of Sherin and Lodge

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vincenzo Mure, (Claimant) vs. Continental Broker-Dealer Corp., Gregory Hasho, Gaspare Bongiorno, Preston Langley Asset Management, Inc., and Alan M, Berkun, (Respondents) Case Number: 99-01901 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Vincenzo Mure, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., a sole practitioner, Avon, CT.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant JohnH. Lotz, Sr. Case No, 99-01897 Names of Respondents Barry Wheeler Wheeler Securities, Inc. Alex Rhoads REPRESENTATION OF PARTIES For John H, Lotz, Sr. ("Lotz"), hereinafter referred to as "Claimant": Pat Huddleston, II, Esq. and Teresa Harris Atkins, Esq. of the law firm of Dawson & Huddleston, Marietta, Georgia. For Respondents Barry Wheeler ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. David O'Brien and Kathleen Murphy, (RespondentQ). Case Number: 99-01896 REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, California. Respondents, David O'Brien ("O'Brien") and Kathleen Murphy ("Murphy"), hereinafte