N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00938 The Burkhardt Trust, claimant vs. Capital International Securities Group, respondent. ATTORNEYS: For claimant appeared Brett Sadler - Huntington Beach, CA. For respondent appeared Keith Feldman & George Befeler, Esq., - Miami, FL. DATE FILED: 3/10/98 CASE SUMMARY: Claimant alleged unauthorized trading and misrepresentation. Claim Data Award Data Claim: $10,000.00 Award: $10,000.00 Interest: Reques

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00936 Charles J. Bowles, claimant vs. H.J. Meyers Co., Inc. & Cohig & Assoc. Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Ridley Park, PA. For respondent HJ. Meyers & Co., Inc., appeared George McDonald, Esq., Rochester, NY. For respondent Cohig & Assoc. Inc., appeared Russell K. Bean, Esq., Englewood, CO. DATE FILED: 3/10/98 CASE SUMMARY: Claimant alleged respondents inflated price of stock. C

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between > Name of Claimant David C. Ruma and 98-00934 Name of Respondent PaineWebber, Inc. REPRESENTATION OF PARTIES David C. Ruma ("Claimant") was represented by Samuel M. Pipino, Esq., "Wiles, Doucher, VanBuren & Boyle, Columbus, Ohio. PaineWebber, Inc. ("Respondent") was represented by Amy Bard, Esq., PaineWebber, Inc., Weehawken, New Jersey. CASE INFORMATION The Sta

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Edward Mathis, Jr. 98-00933 Name of Respondents All-Tech Investment Group REPRESENTATION Edward Mathis, Jr. ("Claimant") was represented by Brian H. Reis, Esq. of the firm Brian Reis & Associates, located in New York, New York. All-Tech Investment Group ("All-Tech") was represented by Thomas A. Rigilano, Esq. of the firm Singer Frumento LLP, located in

AWARD i i NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of tjie Arbitration Between Name of Claimant Lois Sefton v. Arbitration No. 98-00929 Name of Respondent CIBC Oppenheimer & Co., Inc. and Robert H. Wass REPRESENTATION For Claimant: Eli M, Kantor, Esq. Law Office of Eli M. Kantor Beverly Hills, California For Respondent: Robert J. Stemler, Esq. Beth A. Knisely, Esq. Keesal, Young & Logan Lo

N0.684 P.56 i AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names ofQajmaPtt Bruce O. Murphy Lou Ann Murphy 98-00923 Names of Respondents The Boston Group, L.P. Robert Anthony Dfaninico KyeHellmers Mark Steven Bergman Paul Richard Tamayo Steven Howard Levenson John Adam Saveriana, Jr. Mkhael S. Berteletti, aka Mike Bertel Scott Lee Mathb Angelo Achilles Amenta Joseph M. Salvani W

AWARD i i NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Glenda Bone and 98-00916 Name of Respondents Walnut Street Securities, Genmark, Inc., and General American Life Insurance Co. REPRESENTATION OF PARTIES Glenda Bone ("Claimant") was represented by Lois Spritzer, Esq., of Van Amburg, Chackes, Carlson & Spritzer, St. Louis, Missouri. Walnut Street Securities ("WAS"), Genmark, Inc. ("Genmark"),

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Kevin Otto Case No. 00-02944 Hearing Site: Milwaukee, Wisconsin of Respondent Charles Schwab & Company, Inc. T^.f HFSF.NTATTnNT OF PARTIES Claimant Kevin Otto ("Otto") was represented by James Bolt, Esq. of New Berlin, Wisconsin. Respondent Charles Schwab & Company, Inc. ("Schwab") was represented by Robert K. Crowe, Esq., of Charles Schwab & Company

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Anton S. Paparella, Claimant v. First United Equities Corp., David Schwartzberg (a.k.a. David Schwartz), and Steven Cohen, Respondents Case Number: 98-00910 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Patrick M. Passenheim, Esq. Law Offices of Patrick Passenheim San Diego, California For Respondent First United Equities Corporation: Did Not

Jul-13-DI 10;50am From- - T-T79 P-OD2/D14 F-7Q3 AWARD NASD REGULATION, INC In the Matter of the Arbitration Between Name of .Claimant Thomas N. Hall Case Number and 98-00906 Nam^pjjRespcmdent William p. Ryder REPRESENTATION OF PARTIES For Thomas N. Hall ("Claimant") appeared Marvin L. Szymkowicz, Esq. of Medelsohn & Szymkowicz, located in Washington, D.C. For William P. Ryder ("Respondent") appeared Paul I Bazil, Esq., of Pickard & D