Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Golden, Lender Financial Group, Inc., (Claimant) vs. Louis Steven Majano, Jr., and Dalton Kent Securities Group, Inc,, (Respondents) Case Number: 98-02750 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Golden, Lender Financial Group, Inc., hereinafter referred to as "Claimant": Foster J. Gibbons, Esq., General Counsel, The Golden, Lender Fin

JUN, 15 . 1999 1£ = 21Pn AWARD NASD Regulation, Inc. tn the Matter of the Arbitration Between Name of Claimant Frederick Seeger NASD CASE NO. 98-02740 Names of Respondents Meyers. Pollock, Robbins, Inc. and Keith Nelson REPRESENTATION For Claimant: Steven F. Seeger, Esq. of the Advocate Law Center, P.A., Gallup, New Mexico. For Respondent Keith Nelson ("Nelson"): Michael Utilla, Esq. of Brooklyn, New York. Res

JUL. 1.1999 7:l7flM . N0.805 P.21 ,rf AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between aes Irene Rodriguez and Ethel B. NASD CASE NO* 98-02739 Baxter Banks and Smith, Ltd., Richard A. Stock and P. Martin McDennott REPRESENTATION For naiff!" 1 ** Irene Rodriguez ("Rodriguez") and Ethel B. tScfriyfr**""" 1 ("Scolenkennan") (hereinafter collectively referred to as "Claimants' 1 ): Kalju Ne

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Leann Hartman (Claimant) vs. John Dawson & Associates, Inc., Gabriel Kairouz, Richard Beiglemeir, Timothy Reed Etter, David William Robinson, William Raybum Dunbar, Jr., Simon Chong, John Howel Dawson, Paul John Litteau, Norman Lester Murphy, R. Michael O'Mailey, Peter In Cho, and Lynne O'Shea Thybony, (Respondents). Case Number: 98-02738 Hearing Site: Chicago, Illinois REPRESENTA

AWARD NASD Regulation, Inc. CASE: 98-02736 Lorraine M. Thomas, claimant vs. Salomon Smith Barney, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se through Patrick A. Thomas, Atlanta, GA. For Respondent appeared in-house counsel, Linda R. Alpert, New York, NY, DATE FILED: July 29, 1998 CASE SUMMARY: Claimant alleged that respondent sold her portfolio of conservative stock and bonds and purchased an unsuitable stock fund. Claimant further alleged

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Leon Wimberg Case Number and 98-02729 Name of Respondents Prudential Securitievlnc. Larry Preven REPRESENTATION OF PARTIES For Leon Wimberg ("Claimant") appeared Anthony J. Horn, Esq., a sole practioner, located in New York, New York. For Prudential Securities, Inc. ("Prudential") appeared David D. Hartung, Esq., of Prudential Securities, Inc.,

AWARD NASD Regulation, Inc. CASE: 98-02728 Charles Schwab & Co., Inc., claimant vs. Brian J. Shaeffer, respondent. ATTORNEYS: For claimant appeared Linda A. Gallagher, Esq., - Chicago, IL. Respondent appeared Pro Se. - East Berlin, PA. DATE FILED: 7/29/98 CASE SUMMARY: Claimant alleged failure to meet margin maintenance requirements resulting in debit balance in customer's account. Claim Data Award Data " Claim: $9,216.05 Award: $9,216.05

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Maurice and Margaret Willett Margaret Willett as Trustee for The Margaret Willett Living Trust and 00-03160 Phoenix, Arizona Name of Respondents Titan/Value Equities Group, Inc. Lynn Robert Goldney John Waller Marshall dba John Marshall & Associates REPRESENTATION OF PARTIES ("Claimants"} was represented by John J. Nicgorski, Esq., and

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Oliver T. Cowan 98-02722 Name of Respondent The Volume Investor, Inc. REPRESENTATION Claimant appeared pro se. For Respondent: Elizabeth B, Scott. Chief Executive Officer, The Volume Investor, Inc. ("Volume Investor") CASE INFORMATION Statement of Claim filed: July 29, 1998. Reply to Respondent's Counterclaim filed: October 12, 1998 Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Dorris, as Trustee of the J. Paul Dorris Separate Property Trust DTD 3/4/83 as amended and as trustee f/b/o FSA Consulting Actuary, Inc. Employee Pension Plan, and Rafik Y. Kamell, Claimants v. Charles G. Salisbury a/k/a Chuck Salisbury, S.C. Marketing Inc., and Camden Financial Services,, Respondents Case Number: 98-02721 Hearing Site: Los Angeles, California Nature of the Dis