AWARD NASD Regulation, Inc. In the Matter of the Arbitration BeUVeen Name of Claimants Rocky F. Michaelson and Chantel M. Michaelson and 98-01613 Name of Respondents Royal Palm Investments, Ltd. Christopher Lee Miano Roland Greenspan Robert E. Mitchell REPRESENTATION OF PARTIES Rocky F. Michaelson and Chantel M. Michaelson ("Claimants") were represented by Ronald Richard Stowell, Esq., Highlands Ranch, Colorado. Royal Palm Invest

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimant Calvin F. Glass 98-01611 Name of Respondents E.F. Hutton&Co., Inc. REPRESENTATION Calvin F. Glass ("Claimant") appeared pro se. For E.F. Hutton & Co., Inc. ("Respondent") appeared Ann Parry, First Vice President and Associate General Counsel at Salomon Smith Barney, located in New York, New York. CASE INFORMATION Claimant's Statement of Claim

. —# » Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Clifford F. Stevens, Claimant vs. Sterling Foster & Co., Inc., Adam Lieberman and Scott Siegel, Respondents. Case Number: 98-01610 Hearing Site: Cincinnati. Ohio REPRESENTATION OF PARTIES Claimant, Clifford F. Stevens, "Stevens", hereinafter referred to as "Claimant", was represented by Geoffrey P. Damon, Esq., of Cincinnati, Ohio. Respondents, Sterling Foster & Co., In

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. and 98-01608 Name of Respondent Victor J. Danielvics REPRESENTATION OF PARTIES Dean Witter Reynolds, Inc. ("Claimant") was represented by Linda A. Gallagher, Esq. and Ronald P. Kane, Esq. of Gomberg, Kane & Fischer, Ltd., Chicago, Illinois. Victor J. Danielevics ("Respondent") appeared on his own behalf. CASE INFORMATION C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Adrienne and Dale Forester, Claimants v. Nguyen Van Nguyen and Waldron and Company, Inc., Respondents Case Number:-98-01607 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: David Liebrader, Esq. The Law Offices of David Liebrader Irvine, California For Respondent Nguyen Van Nguyen: Tang Kiet, Esq. Law Offices of Kiet & Associates Westminst

N.A.S.D. REGULATION, INC. AWARD CASE:98 - 01597 Richard Dobson, Galloway Motor Co., Ltd., claimants vs. Tasin & Co., respondent. ATTORNEYS: Claimants appeared Pro Se. - Dumfires, Scotland. Respondent Tasin & Co., did not appear. DATE FILED: 4/29/98 CASE SUMMARY: Claimant alleged failure to follow instructions regarding claimant's account, and failure to operate stock loss of 10% which resulted in stock dropping 60%. Claim Data Award Data Claim

NASD REGULATION, INC. . AWARD In the Matter of the Arbitration Between Name of Claimant Felix Camacho vs. Case No. 98-01595 Name of Respondent E*Trade Securities, Inc. REPRESENTATION For Claimant Felix Camacho ("Claimant") appeared Lawrence J. Bochat, Esq., of Bochat & Keenan, P.C. located in Garden City, New York. For Respondent E*Trade Securities ("Respondent") appeared William D, Edick, Esq., of Pickard and Djinis LLP, located in

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01594 James Mack, claimant vs. Andrew Antonucci and First American Equities, respondents. ATTORNEYS: Claimant appeared Pro Se. - Brooklyn, NY. For respondents appeared Randy McClure - Clearwater, FL. DATE FILED: 4/29/98 CASE SUMMARY: Claimant alleged unauthorized trade; high risk investment when new account form indicates moderate risk and charged commission when told there would be no commission. * Cla

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Aloysius Carl -and ' • 98-01593 Name of Respondent Royal Palm Investments, Ltd. Brent Calderone REPRESENTATION OF PARTIES Aloysius Carl ("Claimant") was represented by John E. Pence, Esq., Peck, Shaffer & Williams LLP.. Cincinnati, Ohio. Royal Palm Investments. Ltd. ("Respondent Royal") did not appear at the hearing. Brent Calderone ("Respondent Cal

AWARD NASP Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John J. Hummer and 98-01592 Benito Sauceda, n Stephen Boruchin Peter Matera-Fox REPRESENTATION OF PARTIES John J. Hummer ("Claimant") appeared pro se, Benito Sauceda, III ("Respondent Sauceda") did not appear at the hearing. Stephen Boruchin ("Respondent Boruchin") was represented by Michael W. Lillie, Esq., Lillie Associates, LLC., Englewood, Color