Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ozcan J. Aliko (Claimant) v. Sovereign Equity Management Corporation and Easton R. Blake (Respondents) Case Number: 97-03 891 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Ozcan J. Aliko, ("Aliko"), hereinafter referred to as "Claimant": Charles Shaw, Esq., Shaw & Meyers, P.C,, Teaneck, NJ; p

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph E. Whelan, and Amy N. Whelan and 97-03889 Name of Respondent PaineWebber, Inc., Ronald Gerald Johnson, and Glen Edward Williams REPRESENTATION OF PARTIES Joseph E. Whelan, and Amy N. Whelan ("Claimants") were represented by Howard Silverman of Brokerarb, Bridgewater, Connecticut. PaineWeb

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Sheryl Wilson, Claimant, * v. No. 97-03886 OLDE Discount Corporation, and Bryan Poirier, Respondents. REPRESENTATION OF PARTIES For Claimant: Walter L. Baumgardner, Esq. of Musi IK > Baumgardner, Wagner & Pamdl located in St Clair Shores, Michigan. For Respondents: David T. Doyle, Esq., in-house counsel for OLDE Discount Corporation located in Detroit

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-03884 Mariananda P. Kumar, claimant vs. Cohig & Associates, Inc. Investments NKA EBI Securities Corporation and Marc Saunders, respondents. ATTORNEYS: Claimant appeared Pro Se. - Lecanto, FL. For respondent Cohig & Associates, Inc. Investments NKA EBI Securities Corporation appeared Russell K. Bean, Esq. - Englewood, CO. Respondent Marc Saunders appeared P

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03883 Waldron & Company, claimant vs. Richard Corpuz, respondent. ATTORNEYS; For claimant appeared H. Thomas Fehn, Esq. - Los Angeles, CA. Respondent appeared Pro Se - Century City, CA. DATE FILED: 8/6/97 CASE SUMMARY: Parties seek a stipulated award. Claim Data Claim: $8,837.00 Interest $.00 Atty Fees: Requested Filing Fees: $575.00 Ot

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Maurice Edelstein Case No. 00-02149 Site.' St. Louis, Missouri Natrp. A.G. Edwards & Sons, Inc.; and David Glascow Hibbard, Sr. OF PARTtFS Claimant Maurice Edelstein ("Edelstein") appeared pro se. Respondents A.G. Edwards & Sons, Inc. ("A.G. Edwards") and David Glascow Hibbard, Sr. ("Hibbard") were represented by Jeff Jamieson, Esq., of A.G. Edwards & Sons, Inc.

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Daniel May, Cl aimant/Counterrespon dent Vs. Case Number: 00-00245 Morgan Stanley Dean Witter Reynolds, Inc., Robert Dwyer, Arnie Fusco, Matthew J. Maloney, Thomas C. O'Neil, and Jeffrey S. Swartz, Respondents/Counterclaimants Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant/Counterrespondent Daniel May ("May"): Michael Todd Mclntos

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lias J. Steen and Case Number: 97-03882 Hearing Site: Houston, Texas Names of Respondents Gaines, Berland, Inc., First United Equities Corp., James Bila, Robert Drake and Christian Blake NATURE OF DISPUTE Customer v. Member Firms and Associated Persons REPRESENTATION OF PARTIES Lias J. Steen ("Claimant") was represented by Annette Henry, E

NASD Regulation, Inc., Award In the Matter of Arbitration Between Capital Institutional Services, Inc., Claimant, and No. 97-03880 Michael Caplovitz, Respondent. REPRESENTATION OF PARTIES Claimant, Capital Institutional Services, Inc., ("CIS") was represented by Stephen E. Fox, Esquire, of Jenkins & Gilchrist, located in Dallas, Texas. Respondent, Michael Caplovitz, ("Caplovitz") was represented by Kenneth B. Chaiken, Esquire, of Wolovits an

RA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nfriaimai^ts Theodore R. & Yvonne Fitzer 94-00498 Name of Respondents Mchael Brigman Pina Formicola REPRESENTATION For Claimants Theodore R. & Yvonne Fitzer ("Claimants"): Anthony J. Horn, Attorney at Law, Philadelphia, PA For Respondent Pina Formicola ("Fonnicola"): Laura J. Wilson, Esq. of the law firm of Harris Beach and Wilcox, Ro