N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC, CASE: 97-02463 James and Victoria McDermott, claimants v. Sterling Foster & Company, Inc., respondents. ATTORNEYS: Claimants appeared pro se - Yarmouthport, MA. For Respondents appeared Gregory M. Curley, Esq. - Huntington, NY. DATE FILED: 5/15/97 CASE SUMMARY: Claimants alleged unsuitability and misrepresentation. Claim Data Award Data Claim: $7,712.00 Award

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Kev..Investments, Inc. Names of Respondents Neal Patrick Richard Allegiance Financial Group. Inc. Case No. 97-02461 REPRESENTATION For claimant Key Investments. Inc. ("claimant") appeared Michael N. linear. Esq. and .lames A. Vollins, Hsq. of the law offices Ulmer & Berne. LLP located in Cleveland. Ohio. For respondents Neal Patrick Richard ("Richard")

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jeffrey J. Holmes 97-02458 Name of Respondents Edward D. Jones & Co.; and Timothy J. Papp REPRESENTATION For Claimant: Jeffrey J. Holmes ("Holmes") was represented by William W. Jacobs, Esq., of Kaufman & Cumberland, located in Cleveland, Ohio. For Respondents: Edward D. Jones & Co. ("Edward Jon

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Phillip C. Lang 94-03984 Name of Respondents Andrew Taylor James Guntle Timothy Micicey REPRESENTATION Claimant Phillip C. Lang ("Claimant") was represented by Jeffrey S. Jacobovitz, Esq., Michaels, Wishner & Bonner, Washington, DC. Respondent Andrew Taylor ("Taylor") was represented by Stephen

JUL.a0.199B 8.'21flf1 NflSD REGULATION FL NO.662 P.24 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert and Beth Carlson Case No. 97-02455 Names of Respondents Southern Financial Group, Inc. Jafar Ahmad-Amir REPRESENTATION OF PARTIES For Claimants: Arnold Y. Steinberg, Esq. of Investors' Rights, Inc., Fort Lauderdale, Florida. For Respondents Southern Financial

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ralph L. Schulte, Claimant, vs. NASD No. 97-02454 Sterling Foster & Co., Inc., Jeremy Lee SJovik, Adam Lieberman, Craig Kellerman., and Frank Monroig, Respondents. REPRESENTATION OF PARTIES Claimant was represented by John J. Milter, Esq., Overland Park, Kansas, Respondents were represented by Gregory M. Curley, Esq., Law Offices of Joseph D

AWARD AND STIPULATION NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mark Hotton vs. 97-03594 Name of Resoondents. Counterclaimams and Third Party Claimants M.S. Farreil & Co., Inc.. Thomas Gallo, Douglas Gass. Albert Auer, Keith Schacker, Edward McCarthy, Martin Schacker, Wolfgang Heine, and Brenden Rempei vs. Name of Third Party Respondent Edward A. Sita REPRESENTA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. HAZEL STEVENS, Claimant, v. PAINEWEBBER INCORPORATED AND JACK O. WILSON, Respondents. NASD Case No. 97-02453 STIPULATED AWARD REPRESENTATION For Claimant Hazel Stevens ("Claimant"), Charles Powell, Esq. of Brown, Parker & Leahy located in Houston, Texas. For RespondentsPaineWebberlncorporatedand Jack O. Wilson ("Respondents"),Lisa Catalano Tillem, Esq., in-house counsel at PaineWebber Inco

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Babak Porooshani v. Arbitration No. 97-02452 Name of Respondent PaineWebber Incorporated and John Carroll REPRESENTATION For Claimant: Jonathan W. Evans, Esq. Attorney at Law Los Angeles, California For Respondents: William McC. Montgomery, Esq. PaineWebber Incorporated Los Angeles, California CASE INFORMATI

NASD REGULATION NASD REGULATION AWABD NASD Regulation, fa& Office of Dispute Resolution Io the Mtter of the ArbitttfoQ Between Christine E. Lepley Claimant, vs, No. 97 - 02451 KurtNovey Respondent Christine E. Leplcy {QaimujO was represented by Michael Sata'do, Phoenix. Arizona. Kurt Novey (Respondent) was represented by Robot L. Yeager HI, Dallas, Texas. > Claimant filed her Statement of Claim on or about May 16\ 1997, and signed her