N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05930 Shirley Pomerleau, claimant vs. Josephthal, Lyon & Ross, respondent. ATTORNEYS: Claimant appeared Pro Se. - Pompano Beach, FL. For Respondent appeared Robert E. Murphy, Esq. - New York, NY. DATE FILED: 12/22/97 CASE SUMMARY: Claimant alleged churning. Claim Data Award Data Claim: $9,655.61 Award: $8,141.00 Punitive: $.00 Punitive: $.00 At

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. v. Name of Respondent James G. Aquilina Arbitration No. 97-05927 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Adym W, Rygmyr, Esq. Keesal, Young & Logan Long Beach, California James G. Aquilina In Pro Per Redondo Beach, California CASE

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Anton Lorentz and Phyllis Ann Lorentz, Claimants, v. No. 97-05926 OLDE Discount Corporation, Scott Robertson, Paul Seals, and Jacqueline Patterson, Respondents. REPRESENTATION OF PARTIES Claimants Anton Lorentz and Phyllis Ann Lorentz ("Claimants") were represented by Erwin Cohn, Esq. of Conn & Cohn located in Chicago, Illinois. Respondents

01/29/99 KKl 14:10 AWARD Try 1 ^*v NASD Regulation, Inc. FEB 01 1999 In the Matter of the Arbitration Between Name of Claimants Allan P. Cross, and Virginia Cross and . 97-05923 Name of Respondents Bear Steams & Co., Inc., and Michael Strasser REPRESENTATION OF PATtTTTS Allan P. Cross and Virginia Cross ("Claimants") were represented by J. Pat Sadler, Esq.. Sadler & Associates, P.C., Atlanta, Georgia. Bear Stearns & Co.,

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant Julia Quittman v. 97-05922 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: James E. Reed, Esq., Nichols, Catterton, Downing & Reed, Orinda, California. For Respondent: Kelly J. Moynihan, Esq., Keesal, Young & Logan, San Francisco, California. CASK INFORMATION Statement of Claim filed on or about: December 23, 1997. Cla

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between "*" Cleveland Walcutt, and Cleveland Walcutt TTEE U/A DTD 9/22/93, by Cleveland Walcutt, Claimants, v. No. 97-05916 First Cambridge Securities Corp., and AE 069, Respondents. REPRESENTATION OF PARTIES Claimants Cleveland Walcutt and Cleveland Walcutt TTEE U/A DTD 9/22/93 by Cleveland Walcutt ("Claimants") were represented by 'Walter L. Baumgardner, Esq. of M

NASD REGULATION, INC. MODIFIED AWARD In the Matter of the Arbitration Between Name of Claimants Benjamin R. Willemstyn and Kimberly S. Willemstyn Case No. vs. 97-05903 NSfite of Respondent Jeffrey Lee Parker REPRESENTATION Claimants Benjamin R, and Kimberly S. Willemstyn ("Claimants") appeared pro se. Respondent Jeffrey Lee Parker ("Respondent") did not make an appearance (see "Other Issues Considered and Decided"). CASE INFORMAT

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Patrick Kelly 97-05901 Name of Respondent HJ. Meyers & Co., Inc. REPRESENTATION For Claimant: Patrick Kelly ("Kelly") was represented by Gerald B. Mullin p Esq., of the firm of Rosenthal and Schanfield, located in Chicago, Illinois. For Respondent: HJ. Meyers & Co., Inc. ("Meyers") was represent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wilma R. Pigeon as Successor Trustee of the Philip A. Boad Trust, Claimant v. Prudential Securities, Inc., Torrey Pines Securities, Inc., Jeffrey James Wetzel, and Centex Securities Corporation, Respondents Case Number: 00-02795 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondent Prudential Securities, Inc.: For Respondent Tor

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between > Name of Claimant Glaser Capital Corporation and 97-05898 Name of Respondent Jasen Leffel REPRESENTATION OF PARTIES Glaser Capital Corporation ("Claimant") was represented by William B. Federman, Esq., Day, Edwards, Federman, Propester & Christensen, P.C.. Oklahoma City, Oklahoma. Jasen Leffel ("Respondent") appeared pro se CASE INFORMA