FEB. 7.1999 7:25PM - NO.955 P.3 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant First American Equities, Inc. 98-01008 Namg_o_f r Respondent James Robert Laymac REPRESENTATION For Claimant; Gary M. Lisker, Esq., Atlanta, Georgia, FOT Respondent: Robert G. Brunton, Esq. of the law firm of Rutak R «k, Atlanta, Georgia. CASE DEFORMATION Statement of Claim filed: March 12, 1998. Claimant'

NASD REGULATION, INC. , AWARD In the Matter of the Arbitration Between Name of Claimant Jack H. Fuchs 98-01007 Name of Respondents Louis Ottimo Tasin & Company REPRESENTATION Claimant Jack H. Fuchs ("Claimant") appeared pro se. For Respondents Louis Ottimo ("Ottimo 11 ) and Tasin & Company ("Tasin") (referred to collectively as "Respondents") appeared Seth Taub, Esq., from McCarter & English, LLP, located in Newark, New Jerse

'NOV.30.1998 -10:58AM NflSD REGULflTION FL NASD KEGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolutioa In the Matter of the Arbitration Between Name of Claimflflt First American Equities, Inc. N0.7B6 . P.12 98-01006 Nae BD Compliance Associates, Inc. REPRESENTATION For Claimant: Gfary M. Lisker, Esq., Atlanta, Georgia. For Respondent: Steven J. Card, Esq. of the law firm of Page & Bacek, L.L.P., Atlanta, Georgia.

NATIONAL ASSOCIATION AWARD FEB251999 NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Nancy L. Whitaker, and Blue Water Chemical Company of Tucson, Inc. and 98-01003 Name of Respondents Piper Jaffray, Inc., and Gamer A. Mabry, DI REPRESENTATION OF PARTIES Nancy L. Whitaker, and Blue Water Chemical Company of Tucson, Inc. ("Claimants") were represented by lohn R. Augustine, Jr., Esq., Phoenix, Arizona.

NASD REGULATION, ING. AWARD In the Matter of the Arbitration Between Name of Claimant Jack Chehebar vs. Case No. 98-00994 Name of Respondents D.H. Blair & Co., Inc. Richard Molinsky REPRESENTATION For Claimant Jack Chehebar ("Claimant") appeared Robert Melamed, Esq., a sole practitioner with offices located in Brooklyn, New York. For Respondents D.H. Blair & Co., Inc. ("D.H. Blair") and Richard Molinsky ("Molinsky") (collectively

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Drake & Co., Inc. Case No. 00-02952 Names of Respondents Phillip Clifton Cox Timothy Alan Sheffield Malcom Steven Escarre Hearing Site: Memphis, TN REPRESENTATION OF PARTIES For Drake & Co., Inc. ("Drake"), hereinafter referred to as "Claimant": David S. Smith, Esq. of Smith Campbell & Paduano, New York, NY. For Respondents Phillip Clift

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00992 Charles Schwab & Co., Inc., claimant vs. Jeff Gardella, respondent. ATTORNEYS: For Claimant appeared Linda A. Gallagher, Esq., of the firm, Gomberg, Kane & Fischer, Ltd., Chicago, DL. Respondent did not respond to the Statement of Claim. DATE FILED: March 16, 1998. CASE SUMMARY: Claimant alleged that respondent failed to deposit additional funds to c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cartel Pacific Limited (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kevin Wallace (Respondents) Case Number: 98-00991 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Cartel Pacific Limited ("Cartel") hereinafter referred to as "Claimant": Theodore G. Eppenstein, Esq., Eppenstein

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Tony Pettis, Jeff Ashlock, Gail Burkett and Denise Constantine, Claimants vs. HJ. Meyers & Co., Inc. and Angel Cruz, Respondents. Case Number: 98-00989 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimants, Tony Pettis, Jeff Ashlock, Gail Burkett and Denise Constantine (hereinafter collectively referred to as "Claimants"): Tony Pettis, appearing on behalf of all of the C

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00988 Abbas Sanobari and Afsaneh Anvarian, claimants vs. Arthur E. Raitano and E*Trade Securities, Inc., respondents. ATTORNEYS: For claimants appeared Abbas Sanobari - Albany, NY. For respondents appeared Mark T. Drooks, Esq., - Los Angeles, CA. DATE FILED: 3/16/98 CASE SUMMARY: Claimant alleged execution of a cancelled order and denial of broker to accept responsibility for the incurred loss. Claim Da