N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04934 David and Hannah Anderson, claimants vs. Smith Barney, Inc.. respondent. ATTORNEYS: For Claimant appeared Adam S. Doner, Esq., of the firm Davis, Gordon, Doner & Chandler, P.A., West Palm Beach, FL. For Respondent appeared in-house counsel, Nicole L. Felton, Esq., New York, NY. DATE FILED: October 13, 1997. CASE SUMMARY: Claimants alleged that there

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mark Alloy, (Claimant) vs. Desert Mountain Securities, a.k.a. Monaco Securities, a.k.a. Prime Financial, and Robert Quiel, (Respondents). Case Number: 97-04933 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Mark Alloy hereinafter collectively referred to as "Claimant": Brian M. Kandel, Esq., San Jose, California. Robert A. Quiel hereinafter collectively referre

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Taro G. Gehani 97-04928 Name of Respondents Prestige Status Inc. Schroder & Co, Inc. REPRESENTATION Claimant Taro Gehani ("Claimant") represented himself. For Respondent Prestige Status Inc. ("Prestige") appeared Oreste Colella, Director of Prestige Status Inc., Manhasset, H.Y. For Respondent Schroder & Co. Inc. ("Schroder") appeared Robert K. Lagay

Modified Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kelly Kaminski, (Claimant) vs. Orama Partners, Inc., (Respondent) Case Number: 00-02307 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kelly Kaminski, hereinafter referred to as "Claimant": John K. Grossman, Esq., Dreier & Baritz LLP, New York, NY (formerly with Zevnik Horton Guibord McGovern Palmer & Fognani, LLP, New York, NY). Respondent,

DEC. 19.1998," 1=10PM NftSD REGULATION FL NO.754 P.33 NASD REGULATION, INC. AWARD NASD regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of pteimant Jill Richiidson 97-04924 Oppenheimer & Co., Inc. Arthur TJsheroff REPRESENTATION For Claimant: Ronald Shindler, Esq. of Fowler, White, Burnett, Hurley, Banick & Strickroot, Miami, Florida. ForRe6iipndentOppenheimer&Co.,Inc.("Oppenheimer' 1 )

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 04920 Neil H. McAllister, claimant vs. Merrill Lynch, respondent. ATTORNEYS: Claimant appeared Pro Se, - Brea, CA. For respondent appeared Mark S. Ryan, Esq., - New York. NY. DATE FILED: 10/10/97 CASE SUMMARY: Claimant alleged failure to complete transfer timely, breach of settlement and failure to notify claimant of problem with account. Claim Data Award Data Claim: $9,600.00 Award: $.00 Atty Fees

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04918 Robert C. Booker Revocable Living Trust, claimant vs. Investors Associates, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Wilmington, DE. Respondent did not appear. DATE FILED: 11/12/97 CASE SUMMARY: Claimant alleged failure to execute trades of common stock. Claim Data Award Data Claim: $3,787.04 Award: $3,787.04 Punitive: $.00 .

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04917 Chaker Daham, claimant vs. Lombard Brokerage Inc.. respondent. ATTORNEYS: Claimant appeared Pro Se. - Louisville, KY. For Respondent appeared Judith M. Rosenberg - San Francisco, CA. DATEFILED:10/10/97 CASE SUMMARY: Claimant alleged account error and failure to execute trade. Claim Data Award Data Claim: $2,500.00 Award: $.00 Punitive: $.00 .

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04915 Jeffery T. Bailey and Cheryl D. Bailey, claimants vs. Robert Zampa, respondent. ATTORNEYS: Claimant appeared Pro Se, Long Beach, CA. For Respondent appeared Ira Scot Meyerowitz, Esq., of the firm, Littman Krooks Roth & Ball, P.C., New York, NY. DATE FILED: October 10, 1997 CASE SUMMARY: Claimant alleged that respondent sold his Wholesale Cellular sto

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimant Richard K. Ouellette Case No. vs. 97-04912 Name of Respondents Joseph Dillon & Company Mark Elliott REPRESENTATION For Claimant Richard K. Ouellette ("Claimant"), Paul V. Curcio, Esq. from the law firm of Adler Pollock & Sheehan located in Providence, Rhode Island. For Respondent Joseph Dillon & Company ("Joseph Dillon"), Chase Caro, Esq. from the l