OCT.25.1998 4=56PM NflSD REGULATION FL NO,651 P.8 N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Tames of Claii MunirToma Siham K. Toma 97-05440 REPRESENTATION For Claimants: Louie Toma, CPA, Needham, JrfA. For Respondent: Edwin A. Zipf, Esq., Bressler, Araery & Ross in Morristgwn, NJ. Statement of Claim filed on: August 29, 1997, Claimants* Submission Agreement signe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05438 George W. Forbes, claimant vs. A S. Goldmen & Company, Erika Whitman and Chris Angelone, respondents. ATTORNEYS: Claimant appeared Pro Se. - Jacksonville, FL. For Respondents A.S. Goldmen & Company and Erika Whitman appeared Carole R. Berstein, Esq. - Norwalk, CT. Respondent Chris Angelone did not appear. DATE FILED: 11/18/97 CASE SUMMARY: Cl

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05434 Bradley N. Chill, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: For Claimant appeared Robert J. Fedor, Esq. - Cleveland, OH. For Respondent appeared Mark S. Ryan, Esq. - New York, NY. DATE FILED: 11/18/97 CASE SUMMARY: Claimant alleged unsuitable trades. Claim Data Claim: $6,077.00 Interest: Requested Pu

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Penny Williams and Case No. 97-5431 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES Penny Williams (hereafter referred to as "Claimant") was represented by Clark Phipps, Esq. located in Tulsa, Oklahoma. Shearson Lehman Brothers, Inc. (hereafter referred to as "Respondent") was re

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Gerald F. Morel, and Darrel J, Morel, Claimants, v. No. 97-05430 Michael Taranto, Paul Fiorini, and Toluca Pacific Securities Corporation, Respondents. REPRESENTATION OF PARTIES Claimants Gerald F. Morel and Darrel J. Morel ("Claimants*") were represented by Delmer C. Cowing, m, Esq. of Delray Beach, Florida. Respondents Paul Fiorini ("Fiorini") and Toluca Pacif

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Sharon J. Rhem and Case Number 97-05428 Names of Respondents Texas Capital Securities, Inc. and Everett Wayne Copelin REPRESENTATION OF PARTIES Sharon J. Rhem (hereafter referred to as "Claimant'*) was represented by Bertrand Moser, Esq. of Pannill, Moser & Barnes, L.L.P., located in Houston, Texas. Texas Capital Securities, Inc. and Everett Wayne Copelin (

Stipulated Award NASD DisDiite Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: Florence B. Cristol Rev. Living Trust DTD 12/31/91, Florence B. Cristol Trustee and Florence B. Cristol, Claimant Names of Respondents : Case Number: 00-2356 Centennial Capital Management, Inc., F&S Consultants, Seymour Antin and Frank Schneider, Respondents. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Florence B.

NASD REGULATION, INC. AWARD In the Matter of Arbitration Between Sue Ellen Dickerson, Claimant, and Case No. 97-05427 Prudential Securities, Inc., Dean Witter Reynolds, Inc., Gary Sissel and David Posey, Respondents. REPRESENTATION OF PARTIES Claimant, Sue Ellen Dickerson, was represented by Scott Brazil, Esq. of Riddle & Brazil, L.L.P., located in Houston, Texas, Respondents, Prudential Securities, Inc. and David Posey, were represented

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William A. Price 97-05425 Name of Respondents Gary Honodel; and James Wheeler & Co. Investments Inc. REPRESENTATION For Claimant: William A. Price ("Price") was represented by Gerald B. Mullin, Esq. of Rosenthal and Schanfield, located in Chicago, Illinois. For Respondents: James Wheeler & Co. Investments Inc. ("Wheeler") was represented by Francis

* flPR,E8.199G 3=05PN NPSD REGULflTION FL HO.915 P.4/14 N.A.S.D. STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Huy Due Vu Case No. 97-05424 WMA Securities, Inc, World Marketing Alliance Inc, For Claimant: Steven 0. Early, Esq., Atlanta, Georgia. For Respondents: Sarah B. Estes, Esq. of the law firm of Sutherland, Asbill & Brennan LLP, Atlanta, Georgia. CA