AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between James D. Hobbs, Claimant, v. No. 97-05132 James R. Shell, Trustmark Financial Services, Inc.. Bennie Ingram, and Trustmark National Bank, Respondents. REPRESENTATION OF PARTIES Claimant James D. Hobbs ("Claimant") was represented by Thomas T. Dunbar, Esq. of Dunbar Law Office, P.C. located in Jackson, Mississippi. Respondents James R. Sh

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Peter T. Sidoti vs. Case No. 97-05125 Name of Respondents National Westminster Bank Pic NatWest Market Group, Inc. NatWest Securities Corp. REPRESENTATION For Claimant Peter T. Sidoti ("Claimant"), Nancy L. Hendrickson, Esq. from the law firm of Rudnick & Wolfe located in Chicago, Illinois. For Respondents National Westminster Bank Pic ("Nationa

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paul Wesner Dorothy Wesner vs. Case No. 97-05123 Name of Respondents Bear Stearns & Company Corporate Securities Group, Inc. Kevin Leon Koski Merit Capital Associates, Inc. REPRESENTATION For Claimants Paul Wesner and Dorothy Wesner (collectively "Claimants") appeared Frank E. Bremer, CLA, of the law firm of Greenbaum & Ferentz LLP, located

NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(s) Prudential Securities Incorporated Arbitration No. 97-05115 Name of Respondent fs Dan Palikrovsis RE PRES ENTATION For Claimant: William M. Cassarini, Esq., Prudential Securities Incorporated, New York, New York For Respondent: Dan Palikrovsis, Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: October 23, 1997 Claimant's Submission Agree

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Skehan and Danizza Skehan v. Josephthal & Co., Inc. and Matthew Johnson Case Number: 00-02317 Hearing site: Boca Raton. Florida REPRESENTATION OF PARTIES For Claimants: Jeffrey Erez, Esq. Jeffrey Sonn, Esq. Sonn & Erez, PLC 100 SE Third Avenue One Financial Plaza Suite 1500 Fort Lauderdale, FL 33394 For Respondents: John Bersin, Esq. Josephthal &

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc., Claimant and Counter-Respondent, v. No. 97-05113 Elaine Zittlow-Gerhold, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent A.G. Edwards & Sons, Inc. (''Claimant") was represented by Norman S. Buckvar, Esq. of A.G. Edwards & Sons, Inc. located in St. Louis, Missouri. Responden1ra

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Eximtrams, LTD. - Case No. 97-05109 Names of Respondents Dean Witter Reynolds, Inc. Prudential Securities, Inc. Roberto Sanchez REPRESENTATION OF PARTIES - For Claimant: Curtis Carlson, Esq. of Payton & Carlson, P.A., Miami, FL. r : : For Respondents Prudential Securities, Inc. ("PSI") and Roberto Sanchez ("Sanchez"): Marc S. Dobin, Esq. of Dobin &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naine of Claimants Kelly McCaU Karla McCaU vs. NASD iS^3-01097 Name of Respondents Robert Den Herder Malone & Associates First America Equities Corporation Del Mar Securities, Inc. G.T. Global Financial Services, Inc. For Claimants: John C. Doubek, Esq.; Small, Hatch, Doubek & Pyfer; Helena, Montana For Respondent Robert Den Herder: L

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Steven L. Smith and Case Number 95-02469 Names of Respondents Kemper Securities, Incorporated and James Boynton REPRESENTATION OF PARTIES Claimant Steven L. Smith was represented by Keith Cummiskey, Esq. and James A. Clutts, Jr., Esq. of Quilling, Selander, Cummiskey, Clutts & Lownds, P.C. located in Dallas, Texas.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joe P. Moore, Jr., Claimant v. First Allmerica Financial Life Insurance Company, Allmerica Financial Life Insurance and Annuity Company, Allmerica Investments, Inc., Allmerica Investment Management Company, Inc., Allmerica Trust Company N.A., State Mutual Life Assurance Company of America and SMA Life Assurance Company, Allmerica Financial Services, and Richard Riley t Respondents