Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between rtf Plaimflnt Neil M. Niren Case No. 00-023 11 Marru* La Jolla Capital Corporation La Jolla Capital Financial Corporation Pacific Cortez Securities Incorporated James R. Brown Harold B. Gallison, Sr. Leland C. Swift Emmett A. Larkin Company, Inc. Michael DiFrancesca Robert A. Belfia, Jr. George H. Maiagon, Jr. Thomas P. Coonan Wilfredo Fe

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Elizabeth Maysilles 97-05002 Name of Respondent Lehman Brothers, Inc. REPRESENTATION Claimant Elizabeth Maysilles ("Maysilles") appeared pro se. For Respondent Lehman Brothers, Inc. ("Lehman") appeared John C. Crowe, Esq., in-house counsel for Lehman Brothers, Inc. CASE INFORMATION Statement of Claim was filed on October 15, 1997. Claimant's Sub

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, EVC. CASE: 97-05001 John B. Arceri and Tuna Express, Inc., claimants vs. Joseph Dillon & Co. Inc., and J.B. Oxford & Company, respondents. ATTORNEYS: Claimants appeared Pro Se, Massapequa, NY. For Respondent Joseph Dillon & Co. Inc. appeared in-house counsel, Frances Hickey, Esq., New York, NY. For Respondent J.B v , Oxford & Company appeared Cynthia M. Schleind

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Revy Bledsoe 97-04998 Name of Respondents David Hirsch; Steven Cohen; and First United Equities Corporation REPRESENTATION For Claimant: Revy Bledsoe ("Bledsoe") was represented by Peter B. Shaeffer, Esq., located in Chicago, Illinois. For Respondents: First United Equities Corporation ("First United") did not appear. Steven Cohen ("Cohen") and

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: . . . . . . . . Don E. Bailey, Cf/Christopher, Rachel & Sara Bailey, (Claimant) vs. Piper Jaffray Inc. and Martha A, Crawford, (Respondents). Case Number: 97-04996 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Don E. Bailey, Cf/Christopher, Rachel & Sara Bailey hereinafter collectively referred to as "Claimant": William M. Ziering,

OCT.17.1998 5=15PM NflSD REGULflTION PL . NO.984 P.10 NASD REGULATION, INC. AWARD NASD Regulation, Inc.! Office of Dispute Resolution In the Matter of the Arbitration Between i f-Cl a "riant Investment Management & Research, Inc. Case No. 97-04995 Name oLRespondent F. David Fair REPRESENTATION For Claimant: Joseph A. Vallo, Esq. of the Law Offices of Joseph A. Vallo, Esq. New York, New York, The Respondent appeared pio se. CASE INFOR

MON 14:40 FAK NASD REGULATION 0034 NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bill K and Lois A. Nerland and 97-04992 Name of Respondent John G. Kinnard & Co., Inc, James Stephenson OF PARTDE Bill K. and Lois A. Nerland ("Claimants") appeared pro se, Lois Nerland did not attend the hearing of this matter John G. Kinnard & Co., Inc. (''Respon

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Natalie Merlins and 97-04991 Name of Respondents Joseph Roberts & Co., Inc. Brian Baginski Joseph DeSanto Randy Scott Syrop REPRESENTATION OF PARTIES Natalie Merlins ("Claimant") was represented by Paul J. Sussman, Esq., Chicago, Illinois. Joseph Roberts & Co., Inc. ("Respondent Joseph Roberts"), Brian Baginski ("Respondent Baginski"), Joseph De

Arbitration No. 97-04990 AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) John Terwilliger Name of Respondent(s) PCM Securities Limited, L.P., also known as Royal Palm Investments, LTD Ann Noel Anthony Mirabile Mike Scaramellino Steve Edelson Robert D. Press Performance Capital Management, Inc. Mitchell Financial Corp. Robert Mitchell RE PRE SENTATIQN For Claimant: Brews

NASD Regulation, Inc., FINAL ORDER In the Matter of Arbitration Between George C. Witte and Jo Bradley Witte, Claimants, and No. 97-04989 Southwest Securities, Inc., Wade McGee, Jeffrey Middleswart, and David Glatstein, Respondents. REPRESENTATION OF PARTIES Claimants, Geoige C. Witte and Jo Bradley Witte ("the Wittes") were represented by George C. Witte during these proceedings. Respondents, Southwest Securities, Inc. ("Southwest")