N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03193 Securities of Westchester, Inc., claimant vs. Michael Gianoplus, respondent. ATTORNEYS: For claimant appeared Michael G. Shannon, Esq. - New York, NY Respondent did not appear. DATE FILED: 6/27/97 CASE SUMMARY: Claimant alleged breach of agreement for repayment of commissions. Claim Data Award Data Claim: $3,421.16 Award; $2,821.16 Interest

AWARD NASD Regulation, Inc.. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant McPhillips Trucking, Inc. and 97-03187 Name of Respondent Investors Associates, Inc. Gary Guirand REPRESENTATION OF PARTIES McPhillips Trucking, Inc. ("Claimant") was represented by Mark J. Kallenbach, CPA, Esq,, Minneapolis, Minnesota. Investors Associates, Inc. ("Respondent Investors") was represented by Lawrence Gelber,

AWARD NASP REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Robert M. Baskin v. Name of Respondents Renaissance Financial Securities Corp. James Heitzer, Christine Heitzer Arthur W. Kishpaugh, III, William A. Holmquist, Jr. Todd M. Spehler, Edwin R. Kenny, Jr. Eileen M. Torrillo, and Robert L. Moody Arbitration No. 97-03185 REPRESENTATION For Claimant: For Respondents Renaissance Securities Corp,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Raymond J. McMullen, Sr. ; Claimant, v. No. 97-03183 First of America Securities, Inc.. and Kevin Cole, Respondents. REPRESENTATION OF PARTIES Claimant Raymond J. McMullen, Sr. ("Claimant") was represented by Paul A. DePorre, Esq. of Birmingham, Michigan. Respondent First of America Securities, Inc. ("Respondent") was represented by Dani

QCT-05-3B 14:SS [D= NASD AWARD NASD Regulation, Lie. In The Matter of the Arbitration Between Name of Claimant Janet Jaffin Case Number and 97-03176 Name of Respondent Meyers Pollock Robbins, Inc. REPRESENTATION 7 OF For Janet Jaffin ("Claimant") appeared Lillian Hngelstein of JafFin, Conrad, Finkelstein &L Frank, located in New York ? Ne\v York. Meyers Pollock Robbins. Inc. ("Respondent") did not appear. CASE

NASD REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Shalva Botier Case Number and 97-03175 Name of Respondents Eugene Dworkis David Scott Dworkis Meyers Pollock Robbins, Inc. REPRESENTATION OF PARTIES For Shalva Botier ("Claimant") appeared Paul V. May, Esq., of Steere & May, located in New York, New Yoik. For Eugene Dworkis ("E. Dworkis") appeared Robert Poulson, a sole

< 2o V N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: IT-o3m Sally A. Labbe, claimant vs. J.B. Oxford & Company and Luis Pino, respondents. ATTORNEYS: For claimant appeared Richard E. Shevitz, Esq. - Indianapolis, IN. For respondent J.B. Oxford & Company appeared Scott Monson - Beverly Hills, CA. Respondent Luis Pino appeared pro se - Los Angeles, CA. DATE FILED: 7/1/97 CASE SUMMARY: Claimant allege

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03173 Rosie Johnson, claimant vs. Paragon Capital Corporation, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Bronx, NY. For Respondent appeared Michele D. Wessel - New York, NY. DATE FILED; 6/26/97 CASE SUMMARY: Claimant alleged unauthorized trading of common stock. Claim Data Award Data Claim: $2,000.00 Award: $755.00 Interes

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02076 Curtis J. Nelson and Lori A. Nelson, Claimants vs. Recom Securities, Inc. Respondent. ATTORNEYS: Claimants, Curtis J. Nelson and Lori A. Nelson ("Claimants"), appeared Pro Se., Burnsville, MN. Respondent, Recom Securities, Inc. ("Respondent"), appeared through its President, Merle Levitt, Minneapolis, MN. DATE FILED: May 18, 2000 CASE SUMMARY: Claimant alleged that he req

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Rafael Pinchas vs. Case No. 97-03171 Name of Respondent PaineWebber, Inc. Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Rafael Pinchas ("Claimant") represented himself. Respondent PaineWebber, Inc. ("Respondent") was represented by Jill Rosenberg, Esq. of the law firm of Orrick, Herrington & Sutcliffe, L.L.P., New York, New York and Joseph