NASD REGl'LATI' : v INC AWARD In the Mailer nr [he Arbitration Between Name of Claimants Harry Nordon and Sonja Nordon 97-04849 Name of Respondent Joseph Langer REPRESENTATION 7 Claimants Harry Nordon and Sonja Nordon ("Claimants") appeared pro se. For Respondent Joe Langer ("Respondent"), appeared Lawrence Toscano, Esq., of the law firm Heller, Horowitz & Feit, located in New York, New York. CASE INFORMATION Claimants' S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew J. O'Connell and Colin O'Neill (Claimants) v, Cambridge Partners, L.L.C., Cambridge Holdings, L.L.C., and John McFadden (Respondents) Case Number: 97-04846 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimants Andrew J. O'Connell ("O'Connell") and Colin O'Neill ("O'Neill")

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04842 Eduard Shechter and Lydia Shechter, claimants vs. J.B. Oxford & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Baltimore, MD. For Respondents appeared in-house counsel, Scott G. Monson, Esq., Beverly Hills, CA. DATE FILED: O^ober 6, 1997 CASE SUMMARY: Claimant alleged that respondent failed to execute his sell order according to his instructio

AWARD NASD REGULATION, INC, In the matter of the Arbitration Between Name of Claimants Ronald R. Savin and Gloria A. Savin, Co-Trustees of the Savin Family Trust U AT, dated June 11, 1992 Name of Respondents Prudential Securities, Inc., John Deller and Richard Frank Arbitration No. 97-04837 REPRESENTATION For Claimants: For Respondents: William S. Bonnheim, Esq. Anderholt & Bonnheim, LLP Indian Wells, California P

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John \V. Palmour Case Number and 97-04830 Name of Respondents Marco Guy Fiore, Jr. Thomas Deceglie Kevin Byran Williams Michael James Haefling Joe Richard Huff REPRESENTATION OF PARTIES For John W. Palmour ("Claimant") appeared Neil A. Riemann, Esq., of the law firm Smith, Helms, Mullis & Moore, LLP, located in Raleigh, North Carolina.

AWARD NASD Regulation, Inc. ' . , ; In the Matter of the Arbitration Between Mark S. Bryer, Claimant, v. No. 97-04828 Marc Pollina, and Rothschild Global Investments, Inc.. Respondents, REPRESENTATION OF PARTIES Claimant Mark S. Bryer ("Claimant") was represented by Joseph N. Gross, Esq. and Mariarin E. Butch, £sq.. of Benesch Friedlander Co plan& Aronoff LLP located in Cleveland. Ohio. , Respondent Marc Pollina ("Pollina") .appeared

' 'f JRN.21.1999 HiZlfVI NO.553 P.35 NASD AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Michael B, Ralby 97^04826 Name of Respondent * Salomon Smith Barney, Inc. " REPRESENTATION ForClaimaniMidaclB.RaIby("Ralby'): CariF.5dx)eppl,Esq.ofSchoeppl&6uzk&.P.A. Boca Raton. Florida. FoiRwpoMefflSalomonSmlih Barney ("SmirhBaniey"): Sean J.Coufihlin, Esq. of Smith Barney, Inc., New York, New Yor

ADR 2 Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ronald Wellens, (Claimant) vs. Prudential Securities, Inc., (Respondent) Case Number: 00-02296 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ronald Wellens, hereinafter referred to as "Claimant": Thomas McCarthy, Esq., a sole practitioner, Fair Haven, NJ. Respondent, Prudential Securities, Inc., hereinafter referred to as "Respondent"

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Theodore Krause and Patricia A. Hovorka 97-04824 Name of Respondents Thomas Petropoulos Sterling Foster & Company, Inc. REPRESENTATION For Claimants Theodore Krause ("Krause") and Patricia A. Hovorka ("Hovorka"), collectively "Claimants", appeared James Dolan, Esq., a sole practitioner with offices located in Garden City, New York. Respondent Thoma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Equitable Life Assurance Society vs. Case No. 97-04823 Name of Respondents Ira Stitz Suzanne Stitz REPRESENTATION OF PARTIES The Equitable Life Assurance Society ("Claimant") was represented by John J. Gallagher, Esq. of the law firm of Corbin, Silverman & Sanseverino, LLP, New York, NY. r n v Ira Stitz ("Mr. Stitz") and Suzanne Stit