N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05954 Karol Kacprzak, claimant vs. Investors Associates, Inc. and Schneider Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Buffalo, NY. Respondent Investor Associates, Inc. did not appear. For Respondent Schneider Securities, Inc. appeared J. Patrick Driver - Denver, CO. DATE FILED: 12/23/97 CASE SUMMARY: Claimant alleged churnin

NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(si Daniel Robert Lang Arbitration No. 97-05951 Name of Respondent fa) Prudential Securities Incorporated Marston Richard Keating Janet M, Keating William Warren Baxter REPRESENTATION For Claimant: Paul H. Greisen, Esq., Greisen Law Corporation; Fair Oaks, California For Respondent Prudential Securities Incorporated: Paul M. Foster, Esq., Prudentia

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Myra Rubenstein Case No. 97-05949 Names of Respondents GKN Securities Corp. Schroder & Co. Inc. Kerry L. Hoffman Matthew Bruce Schechner Martin Irwin Schaefer REPRESENTATION OF PARTIES For Claimant Myra Rubenstein ("Claimant"): Albert A. Rapoport, Esq., Boca Raton, Florida. For Respondents GKN Securities Corp. ("GKN"), Schroder & Co. Inc., ("Sch

1.1999 5=33PM AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between LaviniaB, Bounds 97-05948 Name of Resppndent First Tennessee Brokerage, Inc. frtama nf Third Party Respondent Cecil Clayton Bounds, HI REPRESENTATION For Claimant Lavlnia B,'Bounds: Martin H. Aussenbetg, Esq. of Martin H. Anssenberg, P,C,» Memphis, TN. For Respondent First Tennessee Brokerage, Inc. ("FTB"): Michael Richards, Esq. of Baker, Donelson

NOV.15.1998 8.-53PM NflSD REGULATION FL z P NASD REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Rtsolntton In the Matter of the Arbitration Between Name of Claimant DonKaUe NO-599 p.is 97-05H1 Names of Respondents Prudential Securities, Inc. Tammy Jill Zdman For Claimant; F. Robert Slotidn, Esq. of the law firm of Wilson Strickland & Benson, Atlanta, Georgia. For Respondent Prudential Securities, Inc. ("Prudential")

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert Fisher vs. Case No. 97-05935 Name of Respondents Prudential Insurance Company of America Sean McErlean REPRESENTATION For Claimant Robert Fisher ("Fisher") appeared Neil D. Grossman, Esq., of the law firm Caro & Associates, P.C., located in New York, New York. For Respondent Prudential Insurance Company of America ("Prudential") appeared Stel

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants) Emmanuel Nyarko 97-05934 Name of Respondents) Greenway Capital Corp. Frank Ottoviani Gregory Spencer Ron Bozan REPRESENTATION For Emmanuel Nyarko ("Claimant") appeared Richard B. Cohen, Esq. of Akabas & Cohen. For Greenway Capital Corp. a/k/a Cortlandt Capital Corp. ("Greenway") did not appear. For Gregory Spencer a/k/a John Casio a/k/a John C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Barry Mark, ("Claimant") vs. J.W. Barclay & Co., Inc. and Robert J. Damato aka Robert Hopkins, ("Respondents") Case Number: 97-05933 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Barry Mark, hereinafter referred to as "Claimant": David S. Frydman, Esq. Schwartzfeld, Ganfer & Shore, New York, NY. Respondent, J.W. Barclay & Co., Inc. ("Barclay"), hereinafter referre

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05931 Leonard M. Propst, claimant vs. John Sandman and First Cambridge Securities Corporation, respondents. ATTORNEYS: For claimant appeared Seven M, Green, Esq. - San Diego, CA. For respondent John William Sandman, Jr. appeared Paul V. May, Esq. - New York, NY. Respondent Cambridge Securities Corporation did not file an answer. DATE FILED: 12/22/97 CA

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Russell H. Baum and Carolyn D. Baum, Claimants v. Sutro & Company, Incorporated, Respondent Case Number: 00-02796 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimants: William A. Logan, Esq. Lasky, Haas & Cohler PC Two Transamerica Center 505 Sansome Street 12 th Floor San Francisco, CA 94111 For Respondent: David W. Studley, Esq.