, fiUG. 4.1998 H14PM HflSD REGULATION FL N0 . 710 p 20 t N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard J. Heisenbottle NASD CASE NO. 97-05078 Name of Respondents Sterling Foster & Co., Inc., Adam R. Lieberman, Craig Ketaman and Frank Monroig REPRESENTATION For Claimant: Jeffrey S. Grubman, Esq, of Herman Grubmaii & Moore, 1

NOV.15.1998 8:56PM NflSD REGULATION FL NO.599 P.23 KASD REGULATION, INC. STIPULATED AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration BecWeen ' Name of Claimant Southwick Investments, Inc. Case No. 97-05076 Name of Respondent Peter Gust Nicolatos REPRESENTATION Gaimant Southwick Investments, Inc. ("Southwick") was represented by Charles M, Dalziel, Ii. of the law firm of Savell & Williams, LLP, Atlant

MRR. 1.1999 5=30PM • ' NO.583 ' P.3 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Michael E. Wright 97-05075 Name of Respondent Sam A. Ruth , REPRESENTATION For Claimant Michael E, Wright ("Wright"): Robert Wayne Pearce, Esq. of Lerner & Pearce, P.A., Fort Lauderdale, Florida, For Respondent Sam A, Rjith ("Ruth"): Delmer C. Gowing, m, Esq. of Delmer C. Gowing, IH, P.A., Deiray Beach, Florida.

AWARD NASD Regulation, Inc. Office of Dispute Resolution, In the Matter of the Arbitration Between Name of Claimant Satya M. Akula 97-05074 Name of Respondents First United Equities Corp. James J. Pelizzi REPRESENTATION Claimant Satya M. Akula ("Claimant") was represented by Philip L. O'Neill, Esq., of the law firm of Jackson & Campbell, P.C., Washington, DC. Respondent First United Equities Corporation ("FUEC") was not represented at th

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael Haroney, Claimant. v. No. 97-05063 Olde Discount Corporation, Paul Petroff, and Donald Wilhelm, Respondents. REPRESENTATION OF PARTIES Claimant Michael Haroney ("Claimant") was represented by Ralph J. Sirlin, Esq. of Reosti, James & Sirlin, P.C. located in Detroit, Michigan. Respondents Olde Discount Corporation ("Olde") and Paul

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants Joan L. Grosse and Ronald P. Grosse Name of Respondents Pacific Coast Financial Securities, Inc., Prescott Bauer Securities, Inc., Don Tulio Morandini, and Doug Ashman Arbitration No. 97-05051 For Claimants: For Respondent: Don Tulio Morandini REPRESENTATION Montgomery G. Griffin, J.D. Securities Arbitration Offices of Montgomery G.

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 05046 Cmttenden Roth, claimant vs. Paul Hoeper, respondent. ATTORNEYS: For claimant appeared Adym W. Rygmyr, Esq., - Long Beach, CA. Respondent Paul John Hoeper appeared Pro Se. - Newport Beach, CA. DATE FILED: 10/22/97 CASE SUMMARY: Claimant alleged breach of employment agreement and unpaid promissory note. Claim Data Award Data Claim: $9,097.95 Award: $9,097.95 Interest: Requested Interest: 6% per

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants) Dennis & Rita Morani 97-05040 Name of Respondent(s) Commonwealth Equity Services, Inc. William M. Landenberger REPRESENTATION For Claimants Dennis and Rita Morani ("Claimants") appeared John R. Blake, Esq. of the law offices of Bowiditch & Dewey, LLP located in Worcester, Massachusetts. For Respondents Commonwealth Equity Services, Inc. ("Commonwealth

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Names of Claimants Richard and Bonnie Stevens v. Names of Respondents John Muir and David Cummins RECEIVED JUN 3 0 1999 -Arbitration Mediation Arbitration No. 97-05035 For Claimants: For Respondent: For Respondent: Statement of Claim filed: REPRESENTATION Richard and Bonnie Stevens In Pro Per Las Vegas, Nevada John Muir In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Hasan Abu Khajeel Case No. 00-023 12 E*Trade Securities, Inc Hearing Site- Norfolk, Virginia OF Claimant, Hasan Abu Khajeel ("Khajeei"), hereinafter referred to as "Claimant" represented himself at the hearing. Respondent, E*Trade Securities, Inc. ("E*Trade"), hereinafter referred to as "Respondent": Thomas V. Reichert, Esq., Bird, Marella, Boxer & Wolpert, Los Ange