NASD REGULATION, INC. AWARD In the Matter of the .Arbitration Between Name of Claimant - — i < Troy Sears Case No. vs. 97-02784 Names of Respondents John V. Guchone Corporate Securities Group, Inc. Essex Capital Markets, Inc. REPRESENTATION Claimant Troy Sears ("Claimant") appeared pro se. Respondent John V. Guchone ("Guchone") appeared pro se. For Respondent Corporate Securities Group, Inc. ("CSG") appeared Gregory Tendrich, Esq

IVlodified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Liles and Glenesa Liles (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Andrew E. Samalin, and Stephen Glynn (Respondents) Case Number: 04-07404 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Kevin Liles, Individually ("K. Liles") and Kevin

AMENDED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants J.E. Liss & Co., a/k/a Liss Financial Services, a Wisconsin Corporation and Jerome E. Liss vs. Case Number: 04-07312 Hearing Site: Chicago, Illinois Name of Respondent Richard P. Kushnir NATURE OF THE DISPUTE Terminated Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES J.E. Liss & Co., a/k/a Liss Financial S

IVlodified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. Stephen Seibt, MD, (Claimant) v. Merrill Lynch Pierce Fenner & Smith, Inc. and Howard M. Lippman (Respondents) Case Number: 04-07196 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant R. Stephen Seibt, MD ("Seibt") hereinafter referred to as "Claimant": J. Anklowitz, Esq., L

Modified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: 8. Marvin Friedman and Rivka Friedman (Claimants) v. Chase Investment Services Corp. and Neil Cunningham (Respondents) Case Number: 04-00127 Hearing Site: New York. New York Nature of Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants 8. Marvin Friedman and Rivka Friedman hereinafter collectively referred to as "Claimants"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02783 Stephen G. Hoch, claimant v. John Paul Lussier, Ronald David Katz and Todd W. Remmert, respondents. ATTORNEYS: Claimant appeared pro se - Jamesburg, NJ. For respondents appeared Debra Roth, Esq. New York, NY. DATE FILED: 6/4/97 CASE SUMMARY: Claimant alleged unauthorized trades and unsuitability. Claim Data Award Data Claim: $1,436.66 Award

NATIONAL ASSOCIATION OF SECUIUTIES DEALERS AWARD In the Matter of the ^Vrbitration Between D. W. Sohn and Yong-Za Sohn, Claimants, V. NASD No. 94-5052 (Cemper Securities Group, Inc., Kemper Securities. Inc. and Joseph Kapka, Respondents. Rqtresentation For ClaimaQts: Kim Staskus, Esq., Los Altos, California For Respondents: Philip McLeod, Esq. and Gabriel Walker, Esq. of Keesal, Young & Logan, San Francisco, California Case InformaiUm

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 97-02782 Dain Bosworth Incorporated, n/k/a Dain Rauscher Incorporated, Claimant vs. Christopher J. Bartyzel, Respondent. ATTORNEYS: For Claimant appeared David M. Fogel, Associate General Counsel, Dain Rauscher Incorporated, Minneapolis, MN. Respondent did not appear in this matter. DATE FILED: June 4, 1997. CASE SUMMARY: Claimant alleged that Respondent failed to pay the outstand

NASD Regulation, Inc., Award In the Matter of Arbitration Between Fred and Paula Edick, Raymond Rickey, Leon Teske, Judy Graves, Judy Graves IRA, Philip Balbao, Mark and Suzanne Brugner, John Haley, and Charles Harper, Claimants, and No. 97-02778 Stephens, Inc., Respondent REPRESENTATION OF PARTIES Claimants, Fred and Paula Edick ("the Edicks"), Raymond Hickey IRA ("Mickey'*), Leon Teske ("Teske"), Judy Graves and Judy Graves IRA (togeth

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02772 Maria Miller, claimant vs. Lehman Brothers, Inc. and Pamela Vernocchi Kennedy, respondents. ATTORNEYS: Claimant appeared Pro Se, Ozone Park, NY. For Respondent Lehman Brothers, Inc., appeared in-house counsel, John C. Crowe, Esq., New York, NY. Respondent Pamela Vernocchi Kennedy did not respond to the Statement of Claim. DATE FILED: June 3, 1997.