N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00755 Pamela Heard, claimant vs. Alex Brown & Sons, Inc. and John Carroll, respondents. ATTORNEYS: Claimant appeared Pro Se. - Palm Beach Gardens, FL. For respondent Alex Brown & Sons, Inc., appeared Robert E. Patterson, Esq. - Baltimore, MD. For respondent John F. Carroll, IV, appeared Jennifer S. Carroll, Esq., - W. Palm Beach, FL. DATE HLED: 2/25/98 CASE SUMMARY: Claimant alleged misrepresentation, fraudulen

NOTICE: There was no award rendered in this case.

NOTICE: There was no award rendered in this case.

NOTICE: There was no award rendered in this case.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Elaine B. Schwartz f/k/a Elaine Bresler vs. Case No. 98-00754 Name of Respondents Mark Komorsky Peter W. Adolph Adolph Komorsky Hoffman LLC Bear, Stearns Securities Corp. REPRESENTATION For Claimant Elaine B. Schwartz ("Schwartz") appeared Mark Grossman, Esq., located in New York, New York. For Respondents Mark Komorsky ("Komorsky"), Peter W

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant David Day an Case No. 00-02931 Hearing Situs: Boca Raton, Florida Name of Respondent Barren Chase Securities, Inc. REPRESENTATION OF PARTIES For David Dayan ("Dayan"), hereinafter also referred to as "Claimant": Marc J. Gold, Esq., Coral Springs, Florida. For Respondent Barron Chase Securities, Inc. ("Barron Chase"), hereinafter also referred to

* k N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexandra M, London 95-04469 Name of Respondents Bruce F. Eisen Sergio Castro CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1995, Claimant Alexandra M. London, who appeared Pro Se, alleged that Respondent Sergio Castro ("Castro"), a broker at Prudential Se

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Diane Hou, (Claimant) vs. Dominick & Dominick, Inc., Fusung Peter Wu, and Michael Breard Case Number: '98-00749 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Diane Hou ("Claimant"): E. Steve Watson, Esq., Law Office of E. Steve Watson, Dallas, Texas. Respondents, Dominick & Dominick ("Dominick"), Fusung Peter Wu ("Wu"), and Michael Breard ("Breard") hereinafter (

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Thomas R Taber (Claimant) vs. James E. Schmitz and Thomas Scott Zach (Respondents). Case Number. 98-00748 Hearing Site: Chicago, Illinois REPRESENTATION QF PARTIES Claimant Thomas N. Taber ("Claimant")'- John C. Wagner, Esq. and Jeffrey S. Ritchie, Esq., Law Offices of John C. Wagner P.C., Amana, Iowa. • r i' Respondent James E. Schmitz ('"Schmitz"): Patrick J. McNuIty

NASD REGULATION, INC. 1 AWARD In the Matter of the Arbitration Between Names cf Claimants Steven A. Milner and Andrea Milner vs. Case No. 98-00744 Names of Respondents Salomon Smith Barney, Inc. f/k/a Smith Barney Shearson, Inc. Kenneth J. Cariota REPRESENTATION For Claimants Steven A. Milner and Andrea Milner ("Claimants") appeared Kenneth B. Schwartz, Esq., whose law offices are located in Garden City, New York. For Respond