Award NASD Regulation7lncr In the Matter of the Arbitration Between: OLDE Discount Corporation v. Jeffry S. Johnson and Morgan Stanley Case Number: 00-3189 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, OLDE Discount Corporation ("OLDE"), hereinafter referred to as "Claimant": Steven M. Malina, Esq., and Theodore Harman, Esq., Ungaretti& Harris, Chicago, Illinois. Respondent, Jeffry S. Johnson ("Johnson"), hereinafter referred to as

AWARD NASD Regulation, Inc. CASE: 98-03300 C. Joseph Baker, claimant vs. Washington Investment Corporation, Bryan Perry and, Capitol Securities Management, Inc. respondents. ATTORNEYS: Claimant appeared Pro Se - Alexandria, VA. For Respondents appeared Katherine H. Kalinowski, Esq. - Fairfax, VA. DATE FILED: September 8, 1998. CASE SUMMARY: Claimant alleged forgery, breach of fiduciary duty, misrepresentation, unauthorized short sales of Lucent

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation Case No. 98-03291 Name of Respondent Ross A. Freitas REPRESENTATION OF PARTIES For Claimant Olde Discount Corporation: David Kuhna, Esq., Olde Discount Corporation, Detroit, Michigan. Respondent Ross Freitas did not appear. CASE INFORMATION Statement of Claim filed on or about September 8, 1998. Claimant signed the Unif

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Ali A. Meschi Simin Kamalabadi Farahani Case No. 98-03276 Names of Respondents Smith Barney, Inc. Scott Edward Guidry REPRESENTATION OF PARTIES For Claimants Ali A. Meschi and Simin Kamalabadi Farahani hereinafter referred to as "Claimants": George D. Fagan, Esq. of the law firm of Leake, Anderson & Mann, L.L.P., New Orleans, Louisiana and L. Jero

AWARD NASD Regulation, Inc. CASE: 98-03275 Joseph Reynoso, claimant vs. The Thornwater Company, L.P., Clark Roiz, Sean McGovern, and Matthew Freed, respondents. ATTORNEYS: Claimant appeared Pro Se - Los Angeles, CA. For Respondents The Thornwater Company, L.P., and Clark Ruiz appeared Eric Rosenberg, Esq., of the firm, Ziegler, Ziegler & Altman, New York, NY. Respondent Sean McGovern did not respond to the Statement of Claim. Respondent Matthew

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Tamara Bowen Case No. 98-03273 Names of Respondents Dean Witter Reynolds, Inc. Alex Robert Slendak, JT. REPRESENTATION OF PARTIES For Claimant: Darren Blum, Esq. of the Law Offices of Philip J. Feldman& Associates, North Miami, FL. For Respondents Dean Witter Reynolds, Inc. ("DWR") and Alex Robert Slendak, Jr. F' ; ("Slendak"); Bradford D, Kaufman,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Edward S. Mielko Case No. 98-03271 Names of Respondents Waterhouse Securities, Inc. Gary Gould Michael Arena REPRESENTATION OF PARTIES For Claimant: Albert A. Rapoport, Esq., Boca Raton, FL. For Respondents: Burton W. Wiand, Esq. of Fowler, White, Gillen, Boggs, Villareal and Banker, P.A., Tampa, FL. CASE INFORMATION Statement of Claim filed

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mary R. Silverthorn, (Claimant) vs. NationsBanc Capital Markets, Inc. and Nations Bank Montgomery Securities, L.L.C. (Respondents). Case Number: 98-03270 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Mary R. Silverthorn, ("Claimant"): Prater Monning, Esq.: Monning & Wynn, L.L.P., located in Dallas, Texas. Respondent, NationsBanc Capital Markets, Inc. n/k/a/ Natio

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Norman E, Anderson Case No. 98-03269 Names of Respondents West America Securities Corporation John Doe, Manager of West America Securities Corporation Lawrence Joseph Salice Craig Brandwein Robert B. Kay Daniel S. Hellen REPRESENTATION OF PARTIES For Claimant: Robert H. Rex, Esq., Dickenson, Murdoch, Rex and Sloan, Chartered, Boca Raton,

, AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Piper Jaffray Inc. vs. 98-03256 Name of Respondent Frederick J. Hit: CASE SUMMARY In a claim filed with the National Association of Securities Dealers Dispute Resolutioh'Intf. 1 -'tis"- September 2, 1998. Claimant Piper Jaffray Inc. ("Claimant"), through its Vice Preside^ aiEfei- Assistant General Counsel Mark S. Reed, Esq., alleged that R