AWARD NASD Regulation, Inc. CASE: 98-02035 Mohammad E. Pakfar, claimant vs. Continental Broker-Dealer Corp., respondent. ATTORNEYS: Claimant Mohammad E. Pakfar appeared Pro Se. Los Angeles, CA For respondent Continental Broker-Dealer Corp., appeared in-house counsel Peter Gsc. v " ig, Carle Place, NY DATE FILED: June 6, 1998 CASE SUMMARY: Claimant alleged that respondent used high pressure sales tactics and pressured him into purchasing

AWARD NASD Regulation, Inc. CASE: 98-02031 Robert Dinning and Connie Dinning, claimants vs. Marco Spagnuolo and Royal Hutton Securities Corp., respondents. ATTORNEYS: Claimants Robert Dinning and Connie Dinning appeared Pro Se., Farmington, NM Respondent Marco Spagnuolo appeared Pro Se., Staten Island, NY For respondent Royal Hutton Securities Corp., appeared Leslie K. Case, Esq., of the firm Gersten, Savage, Kaplowitz & Fredericks, New York, NY

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Eugene C. Partyka vs. Case No. 98-02030 Name of Respondents Martial Chiong Chris Quintana REPRESENTATION Claimant Eugene C. Partyka ("Claimant") appeared pro se. Respondent Marcial Chiong ("Chiong") did not enter an appearance in this matter. Claimant withdrew all claims against Respondent Chris Quintana ("Quintana"). Therefore, no representativ

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Bob Lemmons v. Arbitration No. 98-02026 Name of Respondents Waterhouse Securities. Inc. and John Kuse REPRESENTATION For Claimant: Bob Lemmons In Pro Per Long Beach, California For Respondents: Kevin K. Fitzgerald Jones, Bell, Abbott, Fleming & Fitzgerald Los Angeles, California CASE INFORMATION Statement of Claim filed: -. May 29, 1

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Carmen L. Pon v. Arbitration No. 98-02019 Name of Respondents Kayne Anderson Investment Management, Inc. KA Associates, Inc.: David J. Shladovsky; Lea Shalev; and Jeannine G. Vanian REPRESENTATION For Claimant: Frances L. Diaz, Esq. Law Offices of Frances L. Diaz Beverly Hills, California For Respondents: David C. Smith, Esq. Stern, Neau

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mark Landau, Claimant v. Providential Securities, Inc., Bear Stearns & Co., Inc., Andrew Shoemaker, and Barry Migliorini, Respondents. Case Number: 98-02018 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Mark Landau Alan Barkan, Esq. Lopshire & Barkan Woodland Hills, California For Respondents: Barry Migliorini and Andrew Shoe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lawrence E. Latas, (Claimant) v. A.G. Edwards & Sons, Inc., Mortitz R. Hofsetter, Bill Smith, and Jeffrey C. Talley (Respondents) Case Number: 00-03077 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Lawrence E. Latas ("Latas"): was pro se Respondents A.G. Edwards & Sons, Inc., ("A.G. Edwards"), Mortitz R. Hofstetter ("Hofstetter"), Bill Smith ("Smit

JRto'28.1999 11:24PM NO. 081 P. IE/14 AWARD NASD Regulation, Inc. In the Matter of the Arbitratioa Between J. C. Bradford & Co. 98-02017 H.D.I. Corporation John B. Gadd, Sr. REPRESENTATION For Claimant J.C. Bradford & Co. ("Bradford"): James G. Ramsey, Esq., Associate General Counsel, J.C. Bradford & Co., Nashville, Tennessee. Respondents H.D.L Corporation ("HDI") and JohnB. Gadd, Sr. ("Gadd 1 ') did not appear, CASE

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Michael L. Thompson, Marilyn Thompson, and Thompson Asphalt Products. Inc., Claimants, v. No. 98-02014 Duke & Co., Inc., Victor M. Wang, Gregg A. Thaler, William J. Rotholz, Jeff Honigman, and R.J. Foglietta, Respondents. REPRESENTATION OF PARTIES Claimants Michael L. Thompson, Marilyn Thompson, and Thompson Asphalt Products, Inc.("Claimants") were represented b

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Huffman Family Trust and Dana Huffman IRA, Claimants vs. George W. Guppy, Respondent Case Number: 98-2012 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimants, The Huffman Family Trust and Dana Huffman IRA, (hereinafter collectively referred to as "Claimants"): Charles P. Kuntz, Esq., Coombs & Dunlap., LLP, 1211 Division Street, Napa, CA 94559. Respo