II.* - .-. . . OF JjEtUKITiEg CLAIMS. ^ • • - ,- - ;Q. AWARD NASD Regulation, Inc. JAN 1 2 1999 In the Matter of the Arbitration Between Name of Claimant Arthur Cooper and Name of Respondents Richard A. Walzak, and Sun America Securities, Inc. and Name of Crossclaimant Sun America Securities, Inc. and 98-01218 Name of Crossrespondent Richard A. Walzak and Name of Counterclaimant

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lila Stafford, Lila Stafford as Custodian and Parents of Ashley and Tyler Stafford (Claimants) vs. Dean Witter Reynolds, Inc. and Terry Montgomery (Respondents). Case Number: 98-01217 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimants, Lila Stafford, Lila Stafford as Custodian and Parents of Ashley and Tyler Stafford ("Stafford"), hereinafter collectively referred t

FEB. 1.1999 ll:22flM NO.295 P.17 j AWARD NASD Regulation, lac. In the Matter of the Arbitration 'Between Name of Claimant Milton Lee Masencup NASD CASE NO. 98-01216 Name of Respondent Interstate/Johnson Lane Corporation REPRESENTATION For Claimant: William A. Bryan, Esq. of Bryan & Haar, Surfside Beach, South Carolina and Robin M. Johnson, Esq. of Willoughby & Hoefer, P.A.. Columbia, South Carolina. For Respondent Interstate/Johnson

AWARD NASD Regulation, Inc. __ In the Matter of the Arbitration Between Name of Claimant M. Ariel Guerreso and 98-01213 Name of Respondent J.B. Oxford & Co. Jose Antonio Maiorino REPRESENTATION OF PARTIES M. Ariel Guerreso ("Claimant") was representedby Alan C. Friedberg, Esq., Pendleton, Friedberg, Wilson & Hennessey, P.C., Denver, Colorado. J.B. Oxford & Co. ("Respondent Oxford") and Jose Antonio Maiorino ("Respondent Maiorino") we

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Charles T. and Anna L. Smith, Claimants, and No. 98-01210 Bear Steam Securities Corporation, Inc., Pauli & Company Incorporated, and John J. Kenny Respondents. REPRESENTATION OF PARTIES Claimants, Charles T. and Anna L. Smith were represented by Marc S. Dobin, Esquire of Dobin and Jenks located in Jupiter, Florida and Jason Haselkom, Esquire of Boose Casey Ciklin Lubitz

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Weiner Abrams & Company, Inc. 98-01208 Name of Respondent Edward Moran REPRESENTATION For Claimant Weiner Abrams & Company, Inc. ("Claimant") appeared Brian A. Carlis, Esq. of the firm Stark & Stark located in Princeton, New Jersey. Respondent Edward Moran ("Respondent") appeared pro se in this matter. CASE INFORMATION Claimant's Statement of Claim

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael E. O'Kane and Wings Associates, Inc. (Claimants) vs. John Verga, Michael lavarone, Michael Newman, Michael Accurso, Marshall Bernstein, Linda Bernstein, and Maidstone Financial, Inc., (Respondents) Case Number: 98-01206 Hearing Site: New York, New York REPRESENTATION OF PARTIES claimants, Micnaei b. U Kane ^"U Kane ) ana Wings Associates, inc. ("Wings Associates ), hereina

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01205 Cowen & Company Claimant vs. Milton Bayer, respondent. ATTORNEYS: For claimant Cowen & Company appeared Peter Byer - New York, NY. Respondent did not appear, DATE FILED: 3/31/98 CASE SUMMARY: Claimant alleged debit balance in customer account. Claim Data Award Data Claim: $3,001.41 Award: $2,859.05 Interest: Requested Interest: 9% per annum from 10/30/97 to date of payment. Filing Fees: $5

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-01201 Homer, Townsend & Kent, Inc., claimant vs. Gregory C. Magee, respondent. ATTORNEYS: Claimant appeared Pro Se, through its Compliance Officer, Michael D. Sweeney, Horsham, PA. Respondent appeared Pro Se, Pittsburgh, PA. DATE FILED: March 3, 1998 CASE SUMMARY: Claimant alleged that respondent failed to repay unearned commissions which had been advanced

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between ( i Name of Claimant Connie King and 98-01193 Name of Respondents Paradise Valley Securities, Inc. Bradley P. Haigh Tony Silverman Dick Kelly REPRESENTATION OF PARTIES Connie King ("Claimant") was represented by William D. Nelson, Esq., Rothgerber Johnson & Lyons, LLP., Denver, Colorado. Paradise Valley Securities, Inc. ("Respondent Paradise"), Bradley P. Ha