Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Andrew James, (Claimant) vs. Track Securities Corporation, (Respondent). Case Number: 00-02347 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Andrew James hereinafter referred to as "Claimant": Represented himself. Track Securities Corporation hereinafter referred to as "Respondent": Marshall Baron Track Securities Brooklyn, New York. CASE INFORMATI

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Mary Park Properties vs. Case No. 97-05270 Name of Respondents Alexander, Westcott & Co., Inc. Richard Dooley Richard Bach REPRESENTATION For Claimant Mary Park Properties ("Claimant") appeared Clifford J. Bond, Esq. of the firm Heller, Horowitz & Feit, P.C., located in New York, New York. For Respondents Alexander, Westcott & Co., Inc. ("Alexan

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Patricia Venner 97-05266 Name of Respondent Marsh Block & Co., Inc. REPRESENTATION Claimant Patricia Venner ("Claimant") appeared pro se. For Respondent Marsh Block & Co., Inc. ("Respondent") appeared Peter A. Perlman, Esq., of the law offices of Beldock Levine & Hoffman, LLP, located in New York, New York. No representative appeared at the hearing on b

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Mary K, Hayward, Claimant, v. No, 97-05264 First of Michigan Corporation, Professional Asset Management, Inc., The Investment Center, Inc., Morrison, McKeown & Young, Inc., Leonard, Young & Michael a/k/a Leonard, Young & Michael Company, and Thomas H. Young, Respondents, v. Leonard & Company, and Donald M. Leonard, Respondents and Cross-Claimants,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05263 Robert M. Segil, claimant vs. Jason Gaer, Tal Knight and John Bauer, respondents. ATTORNEYS: Claimant appeared Pro Se - Evanstan, IL. Respondent John Bauer appeared Pro Se - New York, NY. Respondents Jason Gaer and Tal Knight did not appear. DATE FILED: 11/5/97 CASE SUMMARY: Claimant alleged failure to execute and misrepresentation in the trading

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Vonda White f/k/a Vonda Barbour Case No. 97-05261 Names of Respondents Investors Assc-;-~>>s, Inc. David Baron, Ji. John Moricz Morgan Grant Capital Group, Inc. Richard A. Delfino REPRESENTATION OF PARTIES For Claimant Vonda White ("White"), hereinafter referred to as "Claimant": Kenneth G. Turkel, Esq. of the law firm of Williams, Reed, Weinste

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bill Lewis 97-05258 Name of Respondent J.B. Oxford & Company REPRESENTATION For Claimant: Robert L. Wells, Esq. and Rogen K. Chhabra, Esq. of the law firm of Young, Williams, Henderson & Fuselier, P.A., Jackson, Mississippi. For Respondent: Jeffrey S. Kob, Esq. and Cynthia M. Schleindl, Esq. of the law firm of Miller Milove & Kob, San Diego, California.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter.of the Arbitration Between Name of Claimant Cowen & Company and 97-05256 Name of Respondent Mark F. Reber d/b/a/ Empire Group REPRESENTATION OF PARTIES Claimant Cowen & Co. ("Claimant") was represented by Peter Byer, Assistant General Counsel, Cowen & Co., New York, NY. Respondent Mark F. Reber d/b/a/ Empire Group ("Respondent") did not appear. CASE INFORMATION Th

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Stephen L. Gerber vs. Case No. 97-05254 Names of Respondents First United Equities Corp. Douglas Traynor Christopher Russo David Hirsch Thomas Fox, Jr. REPRESENTATION For Claimant Stephen L. Gerber ("Claimant") appeared David B. Weschsler, Esq., of the law firm Weschsler & Bursky, LLP, located in New York, New York. Respondent First Unit

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: SEA TOWER INTERNATIONAL LTD., (Claimant) vs. MARCANTONIO ANTAMORO and MERRILL LYNCH & CO., (Respondents). Case Number: 00-02341 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sea Tower International Ltd., hereinafter referred to as "Claimant": Sean F. O'Shea, Esq., New York, New York. Respondents, Merrill Lynch & Co. ("Merrill Lynch") and M