AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Juanita Austin v. Name of Respondents The Boston Group, L.P., Dave Samuels, Robert Diminico Kye Hellmers, Dave Samuels and Clifford Mastricola Arbitration No. 97-04002 REPRESENTATION For Claimant: For Respondents: The Boston Group,L.P. Robert Diminico, Kye Hellmers H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Allen H. Katz Case No. 00-02158 Hearing Site: Boca Raton, Florida Names of Respondents Florence A. Sider Ross Wayne Rapaport Scott A. Orr Anthony S. Beitler Keith Guilfoyle REPRESENTATION OF PARTIES Claimant Allen H. Katz ("Katz") appeared pro se. For Florence A. Sider ("Sider"), Ross Wayne Rapaport ("Rapaport"), Scott A. Orr ("Orr")

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants . Henry Barnet, III Barbara B. Barnet 97-03997 Name of Respondent Dean Witter Reynolds REPRESENTATION For Claimants Henry Barnet, III and Barbara B. Barnet ("Claimants") appeared Nicholas D. Thomas, Esq. and Kelley D. Moye, Esq. of The Law Office of Nicholas D. Thomas located in Raleigh, North Carolina. For Respondent Dean Witter Reynolds ("Respond

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-03995 Michael J. Czelusta, claimant vs. Patterson Travis, Inc. and Steven Colli, respondents. ATTORNEYS: Claimant appeared Pro Se, Alden, NY. Respondents appeared Pro Se through their Director of Compliance, Anthony 3. Morano, New York, NY. DATE FILED: August 12, 1997. CASE SUMMARY: Claimant alleged that respondents pressured him into making purchases,

n H bD KLOJLRTION FL NQ ^ NASD REGULATION r INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name, of Qiaimant S. David Beloff Case No. 97-03992 Najpes _of Respondents Smith Barney Inc. James Strainer REPRESENTATION OF PARTIES For Claimant: Charles Wender, Esq. of the Law Office of Charles Wender, Boca Raton, Florida. For Respondents Smith Barney, Inc. ("SB") and James Strainer

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dain Bosworth Incorporated. Claimant and Counter-Respondent, v. No. 97-03990 Gregory M. Kuss, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Dain Bosworth Incorporated ("Claimant") was represented by Catherine A. Gnatek. Esq. of Dorsey & Whitney LLP located in Minneapolis. Minnesota. Respondent and Cou

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03988 Mary Lee Neubauer, claimant vs. Howe Barnes Investments, Inc., respondents. ATTORNEYS: For Claimant appeared Ralph W. Heninger, Esq. - Davenport, IA. For Respondent appeared Brian E. Franc - Chicago, IL. DATE FILED: 8/12/97. CASE SUMMARY: Claimant alleged removal of funds from her account without permission and lost interest regarding corporate bonds

Award NASD Regulation, Inc. In the Matter of Arbitration Between Jorge and Louisa Prats, Claimants, and Case No. 97-03987 Meyers Pollock Robbins Inc. and William Mooney, Respondents. REPRESENTATION OF PARTIES Claimants Jorge and Louise Prats were represented by Laurence L. Pinkerton, Esq. of Pinkerton & Finn, P.C. located in Tulsa, Oklahoma. Respondent Meyers Pollock Robbins Inc. was represented in the pleadings and until February 21

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Yingling Mauzy Agency, Inc., **" Claimants, v. No. 97-03986 Duke & Company, Inc., and Guido Torres, Respondents. REPRESENTATIONOF PARTIES Claimant Yingling Mauzy Agency, Inc. ("Claimant") was represented by Robert E. Lee Wright, Esq. of Miller, Canfield, Paddock and Stone located in Grand Rapids, Michigan. Respondent Duke & Company, Inc. ("D

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03980 Robert J. and Darlene D. King, JT TEN, claimants v. Investors Associates, Inc, Erik Matz and Mark Blonder, respondents. ATTORNEYS: Claimants appeared pro se » Fort Gratiot, MI. For respondents Investors Associates, Inc, and Erik Matz appeared Lawrence R. Gelber, Esq. of Hackensack, NJ. Respondent Mark Blonder did not appear. DATE FILED: 8/12/97