Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Hammond and Susan Kay Hammond, Claimants v. Smith Barney Shearson, Inc., Respondent Case Number: 98-01092 Hearing Site: Las Vegas, Nevada Nature of Dispute: Associated Persons v. Member Firm REPRESENTATION OF PARTIES For Claimant Richard Hammond: Kenneth C. Cory, Esq. Law Offices of Kenneth C. Cory Las Vegas, Nevada For Claimant Susan Kay Hammond: Keith E

,. NASD REGULATION, INC AWARD In the Matter of the Arbitration Between Name of Claimant Sandra Bair Camden (individually and as Independent Administratrix of the Estate of George Bair, Deceased) vs. Award No. 98-01091 Names of Respondents Terry Morter and Robert Thomas Securities, Inc. REPRESENTATION For Claimant: Sandra Bair Camden, individually and as Independent Administratrix of the Estate of George Bair, Deceased, ("Claimant") was r

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant John Akiyama v. Name of Respondent Titan/Value Equities Group, Inc. Arbitration No, 98-01087 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Richard Sacks Investors Recovery Service Novato, California Trenton J. Hill, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald, LLP Los Angeles, California CA

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Theodore Shpack IRA Theodore Shpack Trust Hoot l n' Holler Publications, Inc. v. Name of Respondent Kennedy, Cabot & Company Arbitration No. 98-01085 For Claimants: For Respondent: Statement of Claim filed: REPRESENTATION Theodore Shpack Pro Per Los Angeles, California George H. Kupper, Esq. Kennedy, Cabot & Co.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02958 Fidelity Brokerage Services, Inc., Claimant vs. Luis Eduardo Mendez, Jr., Respondent. ATTORNEYS: Claimant, Fidelity Brokerage Services, Inc., ("Claimant"), appeared through Laurence K. Richmond, Esq., Quincy, MA. Respondent, Luis Eduardo Mendez, Jr., ("Respondent"), did not respond to the claim. DATE FILED: July 13, 2000 CASE SUMMARY: Claimant alleged that Respondent's accoun

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. vs. Case No. 98-01075 Name of Respondent Ronald Butcher REPRESENTATION For Claimant Gilford Securities, Inc. ("Claimant") appeared Joel Levinson, General Counsel for Claimant located in New York, New York. Respondent Ronald Butcher ("Respondent") appeared pro se. CASE INFORMATION Claimant's Statement of Claim was filed o

AWARD i i NASD Regulation, Inc. CASE:. 98-01073 April S, Jones, claimant vs. Elliott Gayer and Frank Briganti, respondents. ATTORNEYS: Claimant April S. Jones, appeared Pro Se., Stone Mountain, GA Respondent Elliott Gayer appeared Pro Se., Great Neck, NY For Respondent Frank Briganti appeared Michael Utilla, Esq., of the firm, Mure' & P.C., Brooklyn, NY DATE FILED: 03/23/1998 CASE SUMMARY: Claimant alleged respondents engaged in unauthorized

, Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael E. Steiner, (Claimant) vs. Griffin Securities, Inc., Adrian Z. Stecyk, and Jack G. Najarian, (Respondents) Case Number: 98-01062 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Michael E. Steiner, hereinafter referred to as "Claimant": Steven H. Weiner, Esq., New York, NY, Respondents, Griffin Securities, Inc. {"GSI"), Adrian Z. Stecyk ("Stecyk"), and Jack

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Raymond J. Acciardo, Sr. vs. Case No. 98-01055 Name of Respondents Millennium Securities Crop. Todd Rome Richard A. Sitomer Pamela L. Rockley REPRESENTATION For Claimant Raymond J. Acciardo, Sr. ("Claimant") appeared Jacob H. Zamansky, Esq., located in New York, New York. For Respondents Millennium Securities Corp. ("Millennium"), Todd Rome

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas P. Komarnicki 98-01044 Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimant: Charleen C. Ramus, Esq., Attorney at Law, Tampa, Florida. For Respondent: Sheila A. Chervin, Esq., Associate General Counsel, Prudential Securities, Inc., New York, New York and Bradford Kaufman, Esq. of Steel, Hector & Davis, West Palm Beach, Flori