.10/09/96 FRI 10:25 FAI NASD REGULATION (2)002 NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Alteration Between Name of Claimant Arizona Ttimato L.L.C. and Frank Cosentino and 97-05895 Name of Respondents Joseph Charles & Associates Inc. and Victor Sibilla _ REPRESENTATION OF PARITIES Claimants Arizona Tomato L.L.C. and Frank Cosentino were represented by Robert D. Mitchel

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Lois A. Parks, IRA, and Lois A. Parks, TTEE of the Lois Parks Trust and * - 97-05893 Name of Respondents Fahnestock & Co., Inc., and Wayne A Mclntosh REPRESENTATION OF PARTIES Lois A Parks, IRA, and Lois A Parks, TTEE of the Lois Parks Trust ("Claimant") was represented by Robert D. Mitchell, Esq., Phoenix, Arizona. Fahnestock & Co., Inc. ("Fahn

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Felipe Canizares vs. 97-05889 Name of Respondents Charles Thornton Bennett Duke & Co., Inc. REPRESENTATION Claimant Felipe Canizares (''Claimant") appeared pro se. For Respondents Charles T. Bennett ("Bennett") and Duke & Co., Inc. ("Duke & Co.") (collectively referred to as "Respondents") appeared Steven D. Sladkus, Esq. of the law firm Gersten, Sa

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-05888 Egon Lazarus and Sara Lazarus, claimants vs. Bear Stearns & Co. Inc. and Christian Galatti, respondents. ATTORNEYS: Claimants appeared Pro Se, Moraga, CA. For Respondents appeared in-house counsel, Cara Aber, Esq., New York, NY. DATE FILED: December 18, 1997. CASE SUMMARY: Claimants alleged that they were dealt with unfairly; that the transactions

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joseph Walsh Case No. vs. 97-05887 Name of Respondents National Discount Brokers and Sherwood Securities REPRESENTATION Claimant Joseph Walsh ("Claimant") represented himself at the hearing and is located in Staten Island, New York. For Respondent National Discount Brokers ("National") and Sherwood Securities ("Sherwood") (collectively "Respondents"

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant James C. Krause v. Arbitration No. 97-05885 Name of Respondents PCM Securities, LTD. and Alexander Peltin REPRESENTATION For Claimant: James C. Krause, Esq. In Pro Per San Diego, California For Respondent PCM Securities, LTD.: No Appearance For Respondent Alexander Peltin: No Appearance CASE INFORMATION Statement of Claim filed: Dece

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mohamed Al-Azhari (Claimant) vs. Merit Capital Associates, Inc. and Taoufik A. Chiadmi (Respondents) Case Number: 97-05884 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mohamend Al-Azhari, hereinafter referred to as "Claimant": Robert Giacovas, Esq., Lazare, Potter & Giacovas, LLP, New York, New York. Respondent, Merit Capital Associates, Inc., hereinafter r

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jeffrey S. Cooper and Marcia G. Cooper, (Claimants) vs. L.T. Lawrence & Co., Inc. and Joseph Verdino, (Respondents) Case Number: 97-05881 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Jeffrey S. Cooper and Marcia G. Cooper, hereinafter collectively referred to as "Claimants" appeared pro se. Respondent, L.T. Lawrence & Co., Inc. ("L.T. Lawrence") did not appear a

•'f Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rafael Del Campo, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and James T. McLaughlin, Respondents. Case Number: 00-02791 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant, Rafael A. Del Campo., hereinafter referred to as "Claimant", was pro se Respondents, Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch") and James T.

SEP. 1.1998 10:58flM NfiSD REGULflTIOM FL , HO.565 P.11 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant; Donald C Ellison, Jr. Case No. 97-05880 Name of Respondent Steme, Agee, & Leach, Inc. REPRESENTATION For Claimant: Forest K. Clinard, Esq., Atlanta, Georgia, For Respondent: G. Wayne Hill is, Jr. Esq. of the law firm of Parker, Hudson, Rainer & Dobbs, LLP,, At