N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Darcy L. Bock 97-02625 Names of Respondents Henry F. Tegler William S. Scott Names of Third Party Respondents World Invest Corp. John Charles Topercer Asset Management Securities Corporation Millennium Genetics, Inc. Banyantree Property Corporation Dan R. Kiely Guy M. Burns, Esq. Johnson, Blakely

HATIOSAL ASSOCIATION OF SECDRITIES DEALERS, INC. In the Matter of the Arbitration Between HARRY A. and MARY M. GOLDENBERG, Claimants, and JANNEY .»10MTG0MERY SCOTT, INC., Re spondent. In Che Matter of the Arbitration Between HARRY A. and MARY M. GOLDENBERG, and GOLDENBERG & MACKLER PENSION and PROFIT SHARING PLANS, :ialniants , and JANNEY MONTGOMERY SCOTT, INC., and Respondents and Third-Party Claimant, WILLIAM H. MONEY

NASD Regulation, Inc., Award In the Matter of Arbitration Between Raymond Jerdy Gary, Claimant, and No. 97-02620 Donaldson, Lufkin & Jenrette Securities Corporation and Kevin F. Hamilton, Respondents. REPRESENTATION OF PARTIES Claimant, Raymond Jerdy Gary ("Gary") was represented by John D. Copeland, Esq., of John D. Copeland, P.C., located in Dallas, Texas. Respondents, Donaldson, Lufkin & Jenrette Securities Corporation ("DLJ") and Kev

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Frank D. and Charlotte Lasenna 97-02617 Names of Respondents Philip Valentin Sterling Foster & Co., Inc. Richard Adam Lieberman Albeit Benjamin Vespoli Craig Lawrence Kellerman REPRESENTATION For Claimants: Stephen D. Spivey, Esq. of the Law Offices of Stephen D, Spivey, Ocala, Florida. For Respondents Philip Valentin ("Valentin") and Ster

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joe Santos 97-02614 Name of Respondents Investors Associates, Inc. Peter Chen REPRESENTATION OF PARTIES For Claimant: Alvin L. Fishman, Esq., Tesler, Sandman & Fishman, San Francisco, California. For Investors Associates, Inc.: M. David Sayid, Esq., Sayid & Associates, Hackensack, New Jersey. For

NASD Regulation, Inc., Award In the Matter of Arbitration Between Richard L. Rogers, Claimant, and No. 97-02611 Chase Manhattan Investment Services, Inc., Respondent. REPRESENTATION OF PARTIES Claimant, Richard L. Rogers ("Rogers,") was represented by Robert C. Sullivan, Esq. and Jeffrey E. Cook, Esq. of Sullivan, Parker & Cook, located in Dallas, Texas, Respondent, Chase Manhattan Investment Services. Inc., ("Chase Manhattan") was represent

•NASD REGULATION, INC. AWARD In the Matter of Arbitration Between Ralph Biniamow and Rita Biniamow, Claimants, and Case No. 97-02610 Smith Barney, Inc. and John Valdrighi, Respondents. REPRESENTATION OF PARTIES Ralph and Rita Biniamow (collectively referred to as "Claimants") were represented by Leonard W. Shefren, Esq. of Shefren Law Offices, PC., located in Omaha, Nebraska. Smith Barney, Inc. and John Valdrighi (collectively referred t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Kenneth M. Thompson Case No. 00-02011 Names of Respondents Aron Oleg Bronstein Tomer Matthew Yuzary Foster J. Gibbons Roman Sakharovich J.P. Gibbons & Co., Inc. f/k/a The Golden Lender Financial Group, Inc., REPRESENTATION OF PARTIES For the Estate of Kenneth M. Thompson ("Thompson"), hereinafter referred to as "Claimant":

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Lloyd Talbert, and Bernie Talbert and 97-02608 Name of Respondents L.C.Wegard&Co.Jnc., Shawn R. Kearns, and LeonardB. Greer REPRESENTATION OF PARTIES Lloyd Talbert and Bemie Talbert ("Claimants") were represented by Barry D. Estell, Esq., Mission, Kansas. Leonard B. Greer ("Greer") appeared on his own behalf. Shawn R. Kearns ("Kearns") was

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles H. Twitty CaseNa and .- 97-2604 Name of Respondent Smith Barney, Inc. REPRESENTATION OF PARTIES For Charles H. Twitty ("Claimant") appeared John E. MacDonald, Esq. of the law firm Stark & Stark, located in Princeton, New Jersey For Smith Barney, Inc. ("Respondent or Smith Barney") appeared Etta Gumbs, Vice-President at Smith Barney, loc