N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-3845 Eugene V. Gourley, claimant vs. John Storey and Investors Associates, respondents. ATTORNEYS: Claimant appeared Pro Se. - Radford, VA For Respondent Investors Associates appeared Lawrence Gelber, Esq. - Hackensack, NJ. Respondent John Storey did not appear. DATE FILED: 8/4/97 CASE SUMMARY: Claimant alleged unauthorized trading and failure to execute i

N.A.S.1). REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: 07-03R44. Richard Kammcrcr, claimant vs. Scott Taylor, respondent. ATTORNEYS: Claimant appeared Pro Se, Marllon, NJ. Respondent appeared Pro Se, Jersey City, NJ, DATE FILED: August 4, 1997. CASE SUMMARY: Claimant alleged thai respondent lied to him and recommended risky investments, namely Wanderlust warrants and Innovative Tech Systems common stock. Clai

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03843 R. Bruce Prime and Donna Prime, claimants vs. Smith, Benton & Hughes, Inc., Mike Zaman, Joseph Tarulli, Manny Gennuso and Winchester Investment Securities, respondents. ATTORNEYS: Claimants appeared Pro Se, San Jose, CA. For Respondents Smith, Benton & Hughes, Inc., and Mike Zaman appeared Claudia J. Zaman, Esq., Woodland Hills, CA. Respondent Joseph

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03842 Venugopala A. Reddy, claimant vs. Cohig & Associates, Inc. and Marc A. Saunders, respondents. ATTORNEYS: Claimant appeared Pro Se, Lecanto, FL. For Respondent Cohig & Associates, Inc., appeared in-house counsel, Russell K. Bean, Englewood, CO. Respondent Marc A. Saunders appeared Pro Se, Denver, CO. DATE FILED: August 4, 1997. CASE SUMMARY: C

AWARD, NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Randall C. Berinhout 97-03837 Names of Respondents Investors Associates, Inc. Lawrence Joseph Penna Herman Epstein REPRESENTATION For Claimant: Gwenn Dorb Holland, Esq. of the law firm of Kidd & Vaughan, LLP, Atlanta, Georgia. For Respondents Lawrence Joseph Penna ("Penna") and Herman Epstein ("Epstein"): Lawrence R. Gelber, Attorney at Law, Ne

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Daniel D. Hillman, M.D., A Medical Corporation and Daniel D. Hillman, Trustee of the Daniel D. Hillman, M.D., A Medical Corporation Profit Sharing Plan v. Name of Respondents Bear, Stearns & Co., Inc. and Michael Goldberg Arbitration No. 97-03826 For Claimants: For Respondents: Statement of Claim filed: REP

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03825 Edwin & Florence Sand Trust, claimant vs. Bull & Bear Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, through its trustees, Edwin and Florence Sand, N. Lauderdale, FL. Respondent appeared Pro Se, through its Vice President, William J. Maynard, New York, NY. DATE FILED: August 4, 1997. " CASE SUMMARY: Claimant alleged that respondent fa

AWARD NASD REGULATION, INC,. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant The Julie Ann Lessler Intervivos Trust v. Arbitration No. 97-03823 Name of Respondents Richard Para and Preferred Technology, Inc. REPRESENTATION For Claimant: Michael A. Oswald, Esq. Oswald & Yap Irvine, California For Respondents: Cameron Stout, Esq. and TedF. Angus, Esq. Keesal, Young & Logan San Francisc

,v AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant(s) Price Auto Center, Inc., Employee Retirement Trust Arbitration No. 97-03822 Name of Respondent(s) Smith Barney Inc. REPRESENTATION For Claimant: Richard M. Layne, Esq., Portland, Oregon For Respondent: Christopher B. O'Malley, Esq. Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: July 28, 1997 Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Toby Wald, Toby Wald IRA and Elestee Company, Claimants v. Ragen MacKenzie, Inc. and Jane H. Suzick, Respondents Case Number: 00-02145 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: John A. Bender Weiss, Jensen, Ellis & Howard Seattle, Washington For Respondents: Curt Roy Hineline Dorsey & Whitney LLP Seattle, Washington CASE INFORMA