Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Kathleen & Roger Ogilvie h/w, C&O Construction, Inc. and Cray Associates, Inc. vs. Name of Respondent Monroe Parker Securities, Inc. Case No. 98-01374 REPRESENTATION OF PARTIES Claimants, Kathleen & Roger Ogilvie h/w ("Ogilvie"), C&O Construction, Inc. ("C&O"), and Cray Associates, Inc. ("Cray"), hereinafter collectively referred to as "Claimants": Tho

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01373 Everen Securities, Inc., f/k/a Kemper Securities, Inc., claimant vs. James O. Randel, respondent. ATTORNEYS: For claimant appeared A. Brad Bussher, Esq. - Chicago, IL. Respondent appeared pro se - Laguna Niguel, CA. DATE FILED: 4/13/98 CASE SUMMARY: Claimant alleged breach of promissory notes. Claim Data Claim: $9,335.15 Interest: Requested Filing Fees: $575.00 Other: $.00 Award Da

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Frank Dalonzo, Jr. vs. ., 98-01371 Name of Respondents Joseph Demendi, Jr. PNC Brokerage Corp. PNC Capital Markets aka PNC Securities REPRESENTATION For Claimant Frank Dalonzo, Jr. ("Claimant"); Anthony E. Patterson, Esq., Pittsburgh, Pennsylvania For Respondents Joseph Demendi, Jr. ("Demendi"), PNC Brokerage Corp. ("PNCBC"), PNC Capital Markets

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Pisciotta, (Claimant) vs. Eric Mirman and Avi Mirman, (Respondents), Case Number: 98-01369 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert Pisciotta, hereinafter referred to as "Claimant": Richard De Vita, Esq., a sole practitioner, Hoboken, New Jersey. Respondent, Eric Mirman, hereinafter referred to as "Respondent": appeared pro se, Little Neck,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-01364 Marvin V-ipler, claimant vs. TYM Securities-cine., respondent. ATTORNEYS: Claimant appeared Pro Se. - New York, NY. Respondent did not appear DATE FILED: 4/13/98 CASE SUMMARY: Claimant alleged breach of fiduciary duty. Claim Data Claim: $1,127.00 Punitive: $.00 Atty Fees: $.00 Filing Fees: $.00 Other: $.00 Award Data Award

N.A.S.D. REGULATION, INC. AWARD CASE: 98 -01362 Mohammad A. Moghal, claimant vs. Michael Goldberg and Centex Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Ambler, PA. For respondents appeared Bruce A. Biddick - La Jolla, CA. DATE FILED: 4/13/98 CASE SUMMARY: Claimant alleged unauthorized trade and refusal to sell. Claim Data Claim: $2,000.00 Interest: $.00 Punitive: $8,000.00 Filing Fees: $.00 Other: $.00

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Estate of Joseph Padula vs. . Case No. 98-01360 Name of Respondent Lew Lieberbaum & Co., Inc. REPRESENTATION For Claimant Estate of Joseph Padula ("Claimant") appeared Morgan W. Bentley, Esq., a sole practitioner with offices located in Newark, New Jersey. For Respondent Lew Lieberbaum & Co., Inc. ("Respondent") appeared Isaac M. Zucker, Esq., Gene

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Tim Ellis, Claimant, v. No. 98-01354 A.S. Goldmen & Co., Ian Hosang, Sheldon Wilson, Marco L. Carucci, Christopher M. Tomasulo, Anthony Marchiano, Stuart E. Winkler and Stacy Meyers, Respondents. REPRESENTATION OF PARTIES Claimant Tim Ellis ("Claimant") was represented by Erwin Cohn, Esq. of Cohn & Cohn located in Chicago, Illinois. Respondents A.S. Goldmen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sam L. Barr, Individually and as Successor in Interest to Chem-Hy Services, Inc., (Claimant) vs. Smith Barney, Inc., Lehman Brothers, Inc. and Judy Bunch, (Respondents). Case Number: 98-01352 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Sam L. Barr, Individually and as Successor in Interest to Chem-Hy Services, Inc., hereinafter referred to as "Claimant": John

AWARD NASD Regulation, Inc. , - In the Matter of the Arbitration Between Tim Ellis, Claimant and 98-1351 Meyers Pollock Robbins, Inc, Peter Tannenbaum Sheldon Wilson Scott Flynn Michael Ploshnick Michael O'Leary John Catalano, and Michael Caso , Respondents REPRESENTATION-OF PARTIES Tim Ellis ("Ellis") was represented by Erwin Cohn, Esq of Cohn & Conn, located in Chicago, Illinois Meyers Pollock Robbins, Inc, ("MP