AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Argent Securities, Inc. 98-03126 Names of Respondents Attkisson, Carter & Akers, Inc. Tommy Outler Alexander Johnson Timothy Terry REPRESENTATION For Claimant Argent Securities, Inc. ("Argent"): Thomas R. Todd, Jr., Esq., Atlanta, Georgia. For Respondents: Phillip S. McKinney, Esq. of the law firm of Rogers & Hardin, Atlanta, Georgia. CASE I

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Nan- of Claimant James W. Gutner Case No. 98-03120 Names of Respondents Prudential Securities, Inc. Barry M. Papa OF PARTIES For James W. Gutner ("Gutner"), hereinafter referred to as "Claimant": John P. Graves, Jr. t Esq., Sarasota, Florida and William T. Kirtley, Esq., Sarasofa, Florida. For Respondent Prudential Securities, Inc. ("Prudential"): Patrick Gafmey, Fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: . nf the Claimants rrmnter-ResponHents Case Number 00-03174 Ricardo Zarzar Kawas, Katia Handel De Zarzar, Hilda K. De Zarzar, and Jacobo E. Zarzar Kawas, * nf the "Respondents and r.nnnter-Claimants Hearing Site: Houston, Texas NationsSecurities, Inc. and Menahem H. Beniflah, Claimants and Counter-Respondents Ricardo Zarzar Kawas, Katia Handel De Zarzar., Hilda K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf the riflimant Page Niimhei" 00-00348 The Estate of Betty R. Murphy Name nf the Respondents Hearing Site- Philadelphia, PA Morgan Stanley DW, Inc. Kathleen Maguire Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, The Estate of Betty R. Murphy, hereinafter referred to as "Claimant", was represented by John R. Crayto

JLJN.15.1999 12:16PM /-"'' NO.803 P.7 '-> AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between NaTiie nf nairaanr Michael Norman 98-03116 nf Respondents PaineWebber, Inc. Richard Petrosky REPRESENTATION For Claimant: John W. Gibson, Esq. of the law firm of Gibson, Deal and Fletcher, P.C., Norcross, Georgia. • For Respondents: Lisa Caialano, Esq. of the law office of Joel E. Davidson, Esq. , New York, New York.

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Irwin Drut and Barbara J. Drut v. Arbitration No. 98-03108 Name of Respondents Presidential Brokerage, Inc. and Eric Lempe REPRESENTATION For Claimants: Richard R. Leuthold, Esq. Law Offices of Richard R. Leuthold San Diego, California For Respondent: Gregg A. Johnson Law Offices of Gregg A. Johnson San Diego, California CASE INFORMATIO

i\ciijui-i.'\i Award lUi S£P0 7«99 NASD Regulation, Inc. IMI ° In the Matter of the Arbitration Between: Thomas F. Wissmann, Claimant vs, U.S. Office Products an Case Number: 98-03106 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant(s), Thomas F. Wissmann ("Wissmann") hereinafter referred to as "Claimant", appeared on his own behalf. Res^taadfifiJ, Respondent hereinafter referred to as "Respondent", was represente

AWARD NASD Regulation, Inc. CASE: 98-03105 Paul Raczkowski, claimant vs. Dreyfus Brokerage Services, Inc., respondent. ATTORNEYS: For Claimant appeared Bruce R. Safran, Esq., Tarzana, CA. Respondent appeared through its Compliance Officer, Beverly Hills, CA. DATE FILED: August 25, 1998 CASE SUMMARY: Claimant alleged that he sold all his Precept shares as a result of his reliance on incorrect information provided by respondent regarding the number of

AWARD NASD Regulation, Inc. CASE: 98-03104 Robert E. Stuemky, claimant vs. International Assets Advisory Corp. and John B. Hampton, III, respondents. ATTORNEYS: Claimant appeared Pro Se, Franktown, CO. For Respondents appeared Stanley T. Padgett, Esq., of the firm Morgan, Padgett & Mierzwinski, P.A., Tampa, FL. DATE FILED: August 25, 1998 CASE SUMMARY: Claimant alleged that respondents misrepresented unsuitable Asian stocks and failed to pro

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Brian K. Watkins vs. _ Case No. 98-03102 Name of Respondents American Investment Services, Inc. Lisa June Strong Robert Anthony Palmiere t REPRESENTATION OF PARTIES Claimant, Brian Watkins, hereinafter referred to as "Claimant": Arnold Y, Steinberg, Esq., Arnold Steinberg, P.C., Pittsburgh, Pennsylvania Respondents, American Investment Services,