Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leslie M. Pommer, Claimant vs. Vladimir J. Carvallo, Scott M. Goodman, Howard C. Zelin, and Morgan Grant Capital Corporation, Respondents Case Number: 00-02095 Hearing Site: Boston, MA REPRESENTATION OF PARTIES Claimant, Leslie M. Pommer, hereinafter referred to as "Claimant": Michael K. Lowman, Esq., of the firm Arent Fox Kintner Plotkin & Kahn, PLLC, Washington D.C. Resp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. < i CASE; 97-03407 Olde Discount Corporation, claimant vs. William H. Wofford, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Robert S. Anderson, Esq., Detroit, MI. Respondent William H. Wofford did not respond to the Statement of Claim. DATE FILED: July 10, 1997. CASE SUMMARY: Claimant alleged that respondent failed to pay for an unsolicited day li

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Roger's Stereo, Inc. Case Number and 97-03406 Name of Respondents Walsh Manning Securities, Inc. Michael Gottlieb REPRESENTATION OF PARTIES For Roger's Stereo, Inc. ("Claimant") appeared Stuart R. Berg, Esq. of the law firm Stuart R. Berg, P.C., located in Garden City, New York. For Walsh Manning Securities, Inc. ("Walsh Manning" or "Respondent

AWARD NASD REGULATION. IMC. In the matter of the Arbitration Between Name of Claimant(s) Charles L. Woodke -III Arbitration No. 97-03405 Name of Respondentfs Smith Barney Inc. Evelyne Grundy REPRESENTATION For Claimant: James A. Krueger, Esq., Vandeberg Johnson & Gandara, . Tacoma, Washington For Respondents: Etta M. Gumbs, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: June 12, 199

NASD REGULATION,'INC. AWARD In the Matter of the Arbitration Between Name of Claimant ' ' Andre Wilmots-Vandendaele Case No. 97-03404 Name of Respondent Andrew Peck Associates Inc. REPRESENTATION Claimant Andre Wilmots-Vandendaele ("Claimant") appeared pro se. For Respondent Andrew Peck Associates, Inc. ("Respondent") appeared Jeffrey S. Boxer, Esq. of the law firm Carter, Ledyard & Milburn located in New York, New York. CASE INFORMATION

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert J. Roberts, individually and on behalf of his IRA account in the custody of Transcorp Pensions Services, Inc. v. Name of Respondent Brian Frank, Daniel Porush, Jordan Belfort, Steven P. Sanders, and Robert Kessler Arbitration No. 97-03401 REPRESENTATION For Claimant: For Respondent Daniel Porush: For

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-03400 Michael Jackson, claimant vs. Investors Associates, Inc. and Keith Grossman, respondents. ATTORNEYS: Claimant appeared Pro Se. - Lake Milton, OH. For Respondent Keith Dennis Grossman appeared Steven Samide, Esq. - New York, NY. Respondent Investors Associates, Inc. did not appear. DATE FILED: 7/10/97 CASE SUMMARY: Claimant alleged unauthorized transa

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daniel and Elizabeth Barrie, (Claimants) vs. Stuart, Coleman & Co., Inc. and Mark Nogid, (Respondents). Case Number: 97-03395 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimants Daniel and Elizabeth Barrie "Claimants": Amy D. Carlin, Esq., Armenakis & i^ New York. New For Respondent Stuart, Coleman & Co., Inc., ("Stuart, Coleman"): Victor Sicuranza, Director o

AWARD NASD Regulation, Inc. Office of Dispute Resolution i i In the Matter of the Arbitration Between The Ohio Company, Claimant, and Case Number: 97-03391 Michael J. Welch, and Robert W. Baird & Co., Inc., Respondents. REPRESENTATION OF PARTIES Claimant The Ohio Company ("Claimant") was represented by Mark L, Kowalsky, Esq. and Karen A. Gould, Esq.,of Hertz, Schram & Saretsky, P.C. located in Bloomiield Hills, Michigan. Respondents

AWARD NASD REGULATION, INC In the matter of the Arbitration Between Name of Claimants) Kenneth Krebs Leslie Karlstrom-Krebs and Trust B. Peter Quinn Angelika Voss-Quinn Douglas N. Reid Elizabeth A. Reid Name of Respondents) Salomon Smith Barney Inc. Richard B. Goldstein Arbitration No. 97-03386 For Claimants: For Respondents: REPRESENTATION Michael R. Simmonds, Esq. Wineberg, Simmonds & Narita San Francisco, C