NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Michael Schwartzbard vs. Case No. 97-03875 Name of Respondents First United Equities Corporation Steven Mark Cohen REPRESENTATION For Claimant Michael Schwartzbard ("Claimant") appeared David S. Richan, Esq. of the firm Tenzer Greenblatt LLP, located in New York, New York. Respondent First United Equities Corporation ("First United") did not enter a

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Allan Carter vs. Case No. 97-03873 Name of Respondents H.J. Meyers & Co., Inc. J. Bernard Lo Verde, Jr. Joseph Parsi REPRESENTATION For Claimant Allan Carter ("Claimant") appeared Frank J. Hariton, Esq., a sole practitioner with offices located in New York, New York. For Respondent H.J. Meyers & Co., Inc. ("HJ Meyers"), J. Bernard Lo Verde ("LoV

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants i i Huanlin Xiao and Yuying Huang vs. 97-03865 Name of Respondent Douglas Getzke REPRESENTATION Claimants Huanlin Xiao and Yuying Huang ("Claimants") were represented by Douglas R. Lally, Esq., Jenkintown, Pennsylvania. Respondent Douglas Getzke ("Respondent") was represented by Edwin Z. Zipf, Esq., Bressler, Amery and Ross, Florham Park, New Jerse

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Allen Yohn 97-03863 Name of Respondents PNC Brokerage Corp. Frederick Blair REPRESENTATION For Claimant Allen Yohn ("Claimant"): Scott M. Dinner, Esq., Mechanicsburg, PA and Gary L. Kelley, Esq., Harrisburg, PA For Respondent PNC Brokerage Corp. ("PNC"): Thomas K. Lammert, Esq., PNC Bank, NA, Pittsburgh, PA For Respondent Frederick Blair ("Blair

r NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution i i In the Matter of the Arbitration Between Name of Claimant William Hastings and 97-03860 Name of Respondent Olde Discount Corporation Jack Pedotto REPRESENTATION OF PARTIES William Hastings ("Claimant") was represented by Otto K. Hilbert, n, Esq., Reinhart, Boerner, Van Deuren, Morris & Rieselbach, P.C., Denver, Colorado. Olde Discount Corporation

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mariel Antonino, Claimant, vs. Dean Witter and Robert Torcivia, Respondents. Case Number: 97-03858 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES Claimant, Mariel Antonino ("Claimant") was represented by Nancy K. Undum, Esq., Montecito, California. Respondent, Dean Witter ("DW") was represented by Paul D. Allen, Esq., of Morgan Stanley Dean Witter, San Francisco, Califor

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between PaineWebber, Inc., Claimant and Counter-Respondent, v. No. 97-03853 John J. Solecki, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent PaineWebber, Inc. ("Claimant") was represented by Stephanie Morse-Shamosh, Esq. of PaineWebber, Inc. located in Weehawken, New Jersey. Respondent and Counter-Claimant John

NASD Regulation, Inc., Award In the Matter of Arbitration Between Mohamed Khalil, ^e Claimant, and No. 97-03851 A.G. Edwards & Sons, Inc. and John Martin, Respondents. REPRESENTATION OF PARTIES Claimant, Mohamed Khalil ("Khalil") was represented by John Courtade, Esquire of John Courtade, P.C. located in Austin, Texas. Respondents, A.G. .Edwards & Sons, Inc. ("A.G. Edwards") and John Martin ("Martin") were represented by Jeff Jamieso

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey Hughes, as trustee of the Eve M. White Trust, dated July 15, 1996, Claimant v, U.S. Bancorp Piper Jaffray Inc. and Philip B. Yee, Respondents Case Number: 00-02147 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimants: Gary E. Rhoades Attorney at Law Portland, Oregon For Respondent U.S. Bancorp Piper Jaffray Inc.: Mark S. Reed U.S. Bancorp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03847 • ;' DECA Investment Co., claimant vs. Quick & Reilly, respondent. .1'- ATTORNEYS: For Claimant appeared Frederick J. Myers, Esq., of the firm, Myers, Bradley, Devitt & Arp. P.C., Denver, CO. For Respondent appeared in-house counsel, Douglas S. Flaherty, Esq., New York, NY. DATE FILED: August 4, 1997. CASE SUMMARY: Claimant alleged that respondent in