RUG.24.1998 9=32flM NflSD REGULATION FL , NO.031 p.7 N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name ofj^laimant Sandra A. Mendelow 97-04060" Names of Respondents Dean Witter Reynolds, Inc. Stephen A. Jaffe REPRESENTATION: For Claimant: Charles J. Kane, Esq. of Greenspan & Kane, Boca Raton, Florida. i For Respondents; James D. Yellen, Esq. of Dean Witter Reynolds, Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Ernest L. Coffindaffer Robert N. Rector Linda J. Tragemann Nancy M. Dotson Undra J. Johnson Kimberly L. Stouffer-Staddon vs. Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Name of Claimant Merrill Lynch Pierce Fenner &. Smith, Inc. Case No. 00-02169 vs. Name of Respondents Prudential Securities, Inc. Er

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. EVC. CASE: 97-04059 Jer-Jaw Hsu, claimant vs. National Discount Brokers, Michael D. Pagano, Karen Merker, Everett Lang, and Tony Scott, respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Fremont, CA. For Respondents National Discount Brokers, Michael D. Pagano, Everett Lang, and Tony Scott appeared Adam Rezak - New York. NY For Respondent Karen Merker

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David L. Ffrench 97-04056 Name of Respondents Pennsylvania Merchant Group LTD Peter S. Bodenheimer REPRESENTATION Claimant David L. Ffrench ("Claimant") was represented by H. Robert Fiebach, Esq. and Mickey M. Mardirossian, Esq., Cozen & O'Connor, Philadelphia, PA. Respondents Peter S. Bodenheimer ("Bodenheimer") and Pe

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ruth Koretsky C/F Paul Koretsky 97-04054 Name of Respondents Jeff Ansted; and Nutmeg Securities Ltd. REPRESENTATION For Claimant: Ruth Koretsky, as Custodian for Paul Koretsky ("Koretsky"), appeared pro se. For Respondent: Nutmeg Securities, Ltd., ("Nutmeg") was represented by Sherman Jent of Nutmeg Securities, Ltd, located in Westport, Connecticut.

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Carolyn K. Lassise Arbitration No. 97-04053 Name of Respondents Drake Capital Securities, Inc. Mary Ellen Brennan REPRESENTATION For Claimant: For Respondents: Audwin Carey Spence, Esq. Law Offices of Audwin Carey Spence Inglewood, California Michael D. Donahue, Esq. Donahue, Mesereau and Leids Los A

FINAL ORDER NASD Regulation, Inc. miaibifi JUN 0 8 19S9 In the Matter of the Arbitration Between William and Michele Kay, Claimants, v, Greenway Capital Corp., Mayer Amsel, Fred Luthy, and Joseph Guccione, Respondents. No. 97-04052 REPRESENTATION OF PARTIES Claimants William and Michele Kay appeared through William Kay. Respondents Greenway Capital Corporation and Mayer Amsel did not appear in this matter. Respond

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Ramchandra and Rashmi Jakhotia 97-04051 Name of Respondents PIM Global Equities, Inc. Erin M. Meehan John Schaible Mark E. Yegge REPRESENTATION For Claimants: Scott J. Flint, Esq. of Alpert, Barker & Calcutt, P.A., Tampa, FL. For Respondents PIM Global Equities, Inc. and John Schaible: John Schaible of PIM Glob

fiUG.18.1998 ll:00flM NflSD BOCA NO.014 P.IS NASD REGULATION, INC, AWARD of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant LOP Capital Markets, Inc. Case No. 97-04049 Names. of Respondents David Alan Zwick Suncoast Capital Group, Inc. Names of Third Party Respondents John George Orosey Jerry Pepe Omar Luis Buttari REPRESENTATION OF PARTIES For Claimant LOP Capital Markets, Inc. ("LOP") and Third

— -MftR.29.1999 5:16PM NO.319 p.26 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Name of Claimant Brian M. Gaines 97-04047 Name.of Respondent Qppenheimer & Co., Inc. N/K/A CIBC Oppenheimer Corp. For Claimant Brian M. Gaines ("Gaines"): Ronald Shindler, Esq, of Fowler, White, Burnett Hurley, Banick & Strickroot, Miami, Florida For Respondent Oppenheimer & Co., Inc. N/K/A CISC Oppeuheimer, Corp. ("Qppenheimer"): Richard