JLJL.13.1999 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Richard J. and Virginia Knrlz NASD CASE NO. 98-03341 nf Respondents H.J. Meyers & Co., Inc. and W. Jonathan Rondini, Jr. REPRESENTATION For Claimants (the "Kurtzes"): Bradley R, Kutrow, Esq. of Smith Helms Mulliss & Moore, L.L.P., Charlotte, North Carolina. Respondents H.J. Meyers & Co., Inc. ("H.J. Meyers 11 ) and W, Jonathan

AWARD NASD Regulation, Inc. CASE: 98-03335 Olde Discount Corporation, claimant vs. David J. Corfman, respondent. ATTORNEYS: For claimant Olde Discount Corporation appeared in-house counsel, Matthew J. Boitos, Esq., Detroit, MI Respondent David J. Corfman appeared Pro Se, Brea, CA DATE FILED: 09/10/98 CASE SUMMARY: Claimant alleged that respondent purchased shares of Rexon, Inc. on margin and, failed to meet the minimum margin maintenance. This r

N.A.S.D. REGULATION A WARD ' KRS REGULATION. CASE: 98-03334 Barbara A. Ashbaugh IRA, claimant vs. Terry Terrana, and SG Cowen Securities Corp. f/k/a Cowen & Company, respondents, ATTORNEYS: Claimant Barbara A. Ashbaugh appeared Pro Se., Mosier, Oregon. For Respondents Terry Terrana, SG Cowen Securities Corp. f/k/a Cowen & Company, Peter Byer, Esq., Assistant General Counsel of SG Cowen Securities Corp., New York, New York. DATE FILED: 9/10/1998 ' "~

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants William L. Charlesworth Bertha H. Charlesworth William & Bertha Charlesworth Revocable Trust Case No. 98-03332 Name of Respondents Anchor Management Group, Inc. Louis Joseph Spaccio, Jr. REPRESENTATION OF PARTIES For Claimants William L. and Bertha H. Charlesworth and the William and Bertha Revocable Trust: Kaiju Nekvasil, Esq., Goodman & Nekvasil,

AWARD NASD Regulation, Inc. CASE; 98-03331 J. Patrick Wolfe and Ruth E. Wolfe, claimants vs. Josh Maddux, Olde Discount Corp., David Wood, and Dan McAskin, respondents. ATTORNEYS; Claimants J. Patrick Wolfe and Ruth E. Wolfe, appeared Pro Se., Wayzata, MN For Respondents Josh Maddux, Olde Discount Corp., David Wood, and Don McAskin appeared in-house counsel, Donald P. Wray Jr., Esq., Detroit, MI DATE FILED; 09/01/1998 CASE SUMMARY; Claimants all

Award NASD Regulation, Inc. In the Matter of the Arbitration Between of Claimant Sarkis Keshishian Case No. 98-03324 Naines of Respopdenftp Merit Capital Associates, Inc. Steven George Kashian, Sr. OF PARTIES For Claimant Sarkis Keshishian ("Keshishian"). hereinafter referred to as "Claimant": RoL Bogdanoff, Esq., Boca Raton, Florida. For Respondent Merit Capital Associates, Inc. ("Merit"): Robert Fitzpatrtek, Esq. of Merit Capital A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard P. McWilliam, Claimant v. Prudential Securities, Inc., Merrill Lynch Pierce Fenner & Smith, Inc., and Richard Gadbois, Respondents Richard Gadbois, Counter-Claimant v, Richard P. McWilliam, Counter-Respondent Case Number: 98-03323 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant Richard P. McWilliam Individually, and as Trustee for the

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Amy Le, (Claimant) v. Huan Van Cao, Tae Goo Moon, Henry Dack Fahman, Theodore Fahman, Hahna Global Securities, Providential Securities, Inc., and Landmark Securities, Inc., (Respondents). Case Number: 98-03309 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES Claimant, Amy Le, hereinafter referred to as "Claimant": Stephen A. Buchwalter, Esq., Law Offices of Stephen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Irene Geer by Conservator William Geer, (Claimant) vs. Dean Witter Reynolds, Inc., Patrick Witheril, and Donna Kirby, (Respondents). Case Number: 98-03302 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Irene Geer by conservator William Greer, hereinafter referred to as "Claimant": Richard Slavin, Esq., Cohen and Woff, P.C, located in Bridgeport, Connecticut.

AWARD NASD Regulation, Inc. CASE:98-0330i David Valle and Yvonne Valle, claimants vs. Anthony R. Giamo, respondent. ATTORNEYS: Claimants, David Valle and Yvonne Valle, appeared Pro Se., Spring Hill, FL. For Respondent Anthony R. Giamo, appeared Michael E. Chasen, Esq., New York, NY. DATE FILED: 09/08/1998 CASE SUMMARY: Claimants alleged use of pressure tactics, misrepresentation, omission of material fact, to induce them into purchasing J M B Hawaii