N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04506 Rezso L. Molnar, claimant vs. JB Oxford & Company, respondent. ATTORNEYS: Claimant appeared Pro Se, Strongsville, OH. For Respondent appeared Scott G. Monson, Esq., in-house counsel, Beverly Hills, CA. DATE FILED: September 12, 1997. CASE SUMMARY: Claimant alleged that respondent did not execute his sell order for 100 shares of Terra Nitrogen ("TNH")

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Che-Arbitration Between Names of Claimants Louis Glazer and Sophie Bross-Glazer 97-04505 Names of Respondents Charles Schwab & Company, Inc. Oaktree Asset Management, Inc. William H. Geiger William G. Welch REPRESENTATION For Claimants: Daniel S. Herman, Esq., Aventura, Florida. For all Respondents; Howard M. Camerik, Esq. of Blank, Rome, Comisky & McC

AWARD NASD REGULATION, Inc. In the Matter of the Arbitration between § § Name of Claimants § § Charles & Lillie Young § § § 97-04504 Name of Respondents § § § Joseph Alagna, Anthony Ustica, Mark Lew, § Lew Lieberbaum & Co., Elliot Gayer, § Bear Stearns Securites Corp. and Stuart Kingoff § REPRESENTATION OF PARTIES Claimants Charles and Lillie Young ("Claimants") were represented by James R. Marlen, Esq. of the Law Off

NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Albert T. Ethridge Arbitration No. 97-04499 Name of Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc Terry Barnes REPRESENTATION For Claimant: Albert T. Ethridge, Las Vegas, Nevada For Respondents: Todd A. Zuckerbrod, Esq., Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, New York CASE INFORMATION Statement of Claim filed: August 13,

AWARD i i National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Paul Michael Catlett and Paul Michael Catlett IRA SEP, Claimants. V. NASD Case No.: 97-04497 Kensington Wells Inc., Elias Tacher, Sal Tacher, Steven Vornea, Adam Levy, Marc Luxenberg, Evan Lasher, Abraham Mirrnan, and Denny Darmodihardjo, Respondents. REPRESENTATION OF PARTIES

NOV.15.1998 8:57PM NASD REGULATION FL NO.599 P.27 NASD REGULATION, INC. CONSENT AWARD NASD Regulation, Inc., OfUce of Dispute Resolution In the Matter of the Arbitration Between Name nf Claimant Southwick: Investments, Inc. Case No. 97-04494 Name of Respondent Stephan T. Smith REPRESENTATION Claimant Southwick Investments, Inc. ("Southwick") was represented by Charles M. Dalziel, Jr., of the law firm of Savell & Williams, LLP, Atlanta, GA.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Ali Raza Sadaat Ali Sheikh Muhammad Jawwad 97-04491 Name of Respondent Equitable Life Assurance Society REPRESENTATION For Claimants Ali Raza ("Raza"), Sadaat Ali Sheikh ("Sheikh"), and Muhammad Jawwad ("Jawwad") (hereinafter referred to, collectively, as "Claimants") appeared James P. Nally, Esq. from the firm White and Cirrito, LLP, located in He

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Rauscher Pierce Refsnes, Inc. and Interra Clearing Services, Inc. and 97-04490 Name of Respondent Michael D. Costello REPRESENTATION OF PARTIES Rauscher Pierce Refsnes, Inc. and Interra Clearing Services, Inc. ("Claimant") was represented by A. Minnie Alexander, Esq., Dorsey & Whitney, LLP, Minneaolis, Minnesota. Michael D. Costello ("Respondent") did not appea

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between , Name of Claimant Rauscher Pierce Refsnes, Inc. and Interra Clearing Services, Inc. and 97-04489 Name of Respondent David A. Carter REPRESENTATION OF PARTIES Rauscher Pierce Refsnes, Inc. and Interra Clearing Services, Inc. ("Claimants") were represented by David M. Fogel. Esq., Interra Financial Incorporated, Minneapolis. Minnesota. David A. Carter ("Respondent") was represen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rochdale Investment Management Inc., (Claimant) vs. Marilyn Eileen Bevington, (Respondent) Case Number: 00-02254 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Rochdale Investment Management Inc., hereinafter referred to as "Claimant": Lane S. Bucklan, Chief Compliance Officer, Rochdale Investment Management Inc., New York, NY. Respondent, Marilyn Eileen