Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Albert N. Podell, (Claimant) vs. Patterson-Travis, Inc. and Avi Majerczyk, (Respondents) Case Number: 97-05253 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Albert N. Podell, hereinafter referred to as "Claimant"': David B. Wechsler, Esq., Wechsler & Bursky, LLP, New York, NY. Respondent, Patterson-Travis, Inc. ("Patterson-Travis"): Richard C. Fooshee, Esq., New Y

N.A.S.D. REGULATION, INC. AWARD cn CASE:-05252 David Matthew, claimant vs. Chatfield Dean & Co., respondent. ATTORNEYS: Claimant appeared Pro Se. - Gilroy, CA. For respondent appeared David E. Graven, Esq. - Greenwood village, CO. DATE FILED: 11/03/97 CASE SUMMARY: Claimant alleged misrepresentation and failure to follow instructions. Claim Data Award Data Claim: $4,521.50 Award: $.00 Atty Fees: $.00 , Atty Fees: $.00 Filing Fees: $.00 •

Award Regulation, Inc. In the Matter of the Arbitration Between: Gerald E. Patnode and Ruth Patnode, Claimants vs. Meyers Pollock Robbins, Inc., Corporate Securities Group, Inc. and Seth B. Kanarick, Respondents. Case Number: 97-05245 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimants, Gerald E. Patnode and Ruth Patnode, hereinafter collectively referred to as "Claimants": Douglas D. Peters, Esq., Peters & Fowler, Inc., P.S., Selah, Wash

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant John Hermes and 97-05244 Name of Respondent Prudential Insurance Company of America Paul Jared REPRESENTATION OF PARTIES John Hermes ("Claimant") was represented by Mark J. Byrne, Esq., Jacobs, Kleinman, Seibel & MacNally, Cincinnati, Ohio. Prudential Insurance Company of America ("Respondent Prudential") was represented by Charlie Warner, Esq., Porter,

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Louis Simonye vs. 97-05242 Name of Respondents Janney Montgomery Scott Inc. Timothy J. Ennis REPRESENTATION For Claimant Louis Simonye ("Claimant") - Debra G. Speyer, Esq., The Law Office of Debra G. Speyer, Philadelphia, Pennsylvania For Respondents Janney Montgomery Scott, Inc. ("JMS") and Timothy J. Ennis ("Ennis") - Paula D. Shaffner,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Johnnie Gordon, (Claimant) vs. Dean Witter Reynolds Inc., (Respondent) Case Number: 97-05239 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Johnnie Gordon, hereinafter referred to as "Claimant": Alan C. Levy, Esq., a sole practitioner, Mineola, NY. Previously represented by: Joel R. Kupfennan, Esq. ( Law Office of Joel R. Kupfennan, Centerport, NY

• I N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INCU CASE: 97-05236 John F. Newton Loving Trust, John F. Newton & Jeanne Newton, Trustees, claimant vs. Bear Steams Securities Corp., respondent. ATTORNEYS: Claimant appeared Pro Se, Elk Grove, H. -" ,->-" For Respondent appeared in-house counsel, Cara Aber, Esq., Whippany, NJ. DATE FILED: November 4, 1997. CASE SUMMARY: Claimant alleged that respondent

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Christine Huszagh 97-05232 Name of Respondents SFI Investments, Inc.; Bruce Bahlav; Frank J. Fasano; Barbara Halpern; Karen Ritter; Robert Fitzpatrick; Mark Singerman; and Jeffrey Olweean. REPRESENTATION For Claimant: Christine Huszagh was represented by Richard S. Huszagh, Esq. of Chicago, Illinois. For Respondents: Respondents did not appe

AWARD NASD Regulation, Inc. CASE: 97 - 05229 Johanthan Fields, claimant vs. Phibro Energy, respondent. ATTORNEYS: Claimant appeared Pro Se. - Cranbury, NJ. For Respondent appeared Etta Gumbs, Esq. - New York, NY. DATE FILED: 10/31/97 CASE SUMMARY: Claimant alleged failure to follow instructions and negligence in the handling of an IRA account. Claim Data Award Data Claim: $10,000.00 Award: $.00 Filing Fees: $.00 Filing Fees: $75.00 O

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants A.G. Edwards and Sons, Inc., Cheryl Anthony and 97-05227 Name of Respondent Mercantile Investment Services, Inc. Consolidated with Name of Claimant Mercantile Investment Services, Inc. and 97-05228 Name of Respondents A.G. Edwards and Sons, Inc., Cheryl Anthony REPRESENTATION OF PARTIES