N.A.S.D. AMENDED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ' Mable Dean 97-02541 Name of Respondents Investors Associates, Inc. Gary Johnson REPRESENTATION For Claimant: William Cook, Esq. of Alpert, Barker & Calcurt, P.A., Tampa, Florida. For Respondent Investors Associates, Inc.: Lawrence Gelber, Esq. of Investors Associates, Inc., Hackensack, NJ. Respondent G

OCT. 5.1958 9:31RM NftSD REGULflTION FL MO.59Z P.10 N.A.S.D, REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution Tn the Matter of the Arbitration Between Name of .Claimants David B. Kesler Profit Sharing Trust David B. & Bonnie L, Kesler David B. Kesler, IRA David B. Kesler David B, Kesler, P-A. 97-02540 Name of Respondents Smith Barney Inc. Richard Hilbuni REPRESENTATION For Claimants: Guy Bums, Esq. an

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Keith Faber and 97-02539 Scottsdale, Arizona Name of Respondents First Southwest Company Joseph Roberts & Co., Inc. Joseph DeSanto Paul M. Efron Robert DiMarco Richard Ginsberg Joseph John Salerno, IH REPRESENTATION OF PARTIES Keith Faber ("Claimant") was represented by Michael H. Schaalman, Esq., Quarles & Brady, Milwaukee,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Leroy 1 Viersen, Patricia A. Viersen and Jessie H. Watts, Claimants vs. Baraban Securities, Inc., Respondent. Case Number: 97-02538 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimants, Leroy J. Viersen, Patricia A. Viersen and Jessie H. Watts, hereinafter referred to as "Claimants": Raymond R. Prazen, Esq., El Cajon, California Respondent, Baraban Securities, Inc.,

NOV. 15,1998 9:00PM NASD REGULATION FL N0 p AWARD NASD Rjegularion, Inc. Office of Dispute Resolution In toe- Matter of the Arbitration Between Karl D. Evertz individually and as custodian for Melissa I. Evertz, and Kevin F. Eveicz Name of Respondents Lew Lieberbaum & Co., Inc.. Drew D. Chalmers and Mark I. Lew NASD CASE NO. 97-02535 REPRESENTATION For Clainants: Guy M, Burns, Esq. of Johnson, Blafcely t Pope, Bcfcor,

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Viroj Amornthan Name of Respondent The J.B. Sutton Group, Inc., Glen Rauch Securities, Inc., Stuart Coleman & Co. h Inc., Everen Clearing Corp., Bear Stearns Securities Corp., Schroder Wertheim & Co., Inc., Sean Gillooley, Bradley Marcus, and Bradford Beidner Arbitration No. 97-02534 REPRESENTATION For Claimant: For Respondent Th

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Monroe Financial Corp., Claimant, and No. 97-02529 Daniel F. Davila T Respondent. REgRESENTATlON QF PARTTES Claimant, Monroe Financial Corporation, was represented by Daniel D. Trachtman and Michael C. Cook, Esquires of Wooden & McLaughlin, located in Indianapolis, Indiana. Respondent, Daniel F. Davila, was represented by Michael A. Wukmer and D

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donaldson Lufkin & Jenrette Securities Corp. 97-02527 Name of Respondent Paik K. Hong REPRESENTATION Claimant Donaldson Lufkin & Jenrette Securities Corporation ("Claimant") was represented by Scott Greco, Esq., Greco & Greco, McLean, VA. Respondent Paik K. Hong ("Respondent") did not file any appearance. CASE INFORMATI

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul K. Lecoq, Claimant vs. CIBC Oppenheimer Corp., Respondent. Case Number: 00-02007 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: James M Finn, Esq. Schwabe, Williamson & Wyatt, P.C. Portland, Oregon For Respondent: Michelle Murphy, Esq. CIBC World Markets Corp. New York, New York CASE INFORMATION Statement of Claim filed on or ab

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Benjamin Tan 97-02523 Name of Respondent Garvin Guybutler, GP REPRESENTATION For Claimant Benjamin Tan ("Claimant") appeared David W. Phillips, Esq., of the firm St. John & Wayne, LLC, located in New York, New York. For Respondent Garvin Guybutler ("Respondent") appeared David B. Gordon, Esq., of the firm Piliero Goldstein Jenkins & Hall, located in New Yo