NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant W.R. Lazard, Laidlaw Incorporated vs. Case No. 97-02386 Names of Respondents Greenwich Global, L.P. Phoebe Zaslove Consolidated With In the Matter of the Arbitration Between Name of Claimant Greenwich Global, L.P. vs. Case No. 97-02637 Name of Respondent W.R. Lazard, Laidlaw Incorporated REPRESENTATION W.R. Lazard, Laidlaw In

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02385 A.S. Goldmen & Company, Inc., claimant v. Frederick Birks, respondent, ATTORNEYS: For Claimant appeared Carole R. Bernstein, Esq. - Norwalk, CT. Respondent appeared pro se - St Petersburg, FL. DATE FILED: 5/12/97 CASE SUMMARY: Claimant alleged respondent failed to pay his share of award in a previous NASD decided against the parties. Claim Data A

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 97-02384 Frank Placzek and Mary A. Placzek, claimants vs. Coleman J. Flaherty and Investors Associates, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se, Wilbraham, MA. Respondent Coleman J. Flaherty appeared Pro Se, Brooklyn, NY. Respondent Investors Associates, Inc., did not respond to the Statement of Claim. DATE FTT.F.D: May 12, 1997. CASE SUMM

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 97-02381 James & Doris Schwarz Community Property Trust, Claimant vs. Suppes Securities, Inc. and George Marques, Respondents. ATTORNEYS: Claimant James Schwarz, "(Claimant"), appeared Pro Se., Dana Point, CA. For Respondent, George marquez, Jr. ("Respondent"), Sanford H. Greenberg, Esq. New York, NY. Respondent, Suppes Securities, Inc. ("Respondent"), did not respond to Statement of

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-02378 Vein Rand and Cheryl Fasci. claimants v. Charles Schwab & Company. Inc.. respondent. ATTORNEYS: Claimants appeared pro se - Orlando, FL. For Respondent appeared Rhonda Jones, Esq. - San Francisco, CA. DATE FILED: 5/12/97 CASE SUMMARY: Claimants alleged account error and failure to execute in the sale of common stock. Claim Data Award Data Clai

NASD Regulation, Inc., Award In the Matter of Arbitration Between James and Julie Eugenio, Claimants, and No. 97-02377 Block Trading, Inc., and Chris Block, Respondents. REPRESENTATION OF PARTIES Claimants, James and Julie Eugenio ("the Eugenics") were represented by Randall A. Pulman, Esquire, of Stumpf, Falgout, Craddock & Massey, located in San Antionio, Texas. Respondents, Block Trading, Inc., and Chris Block ("Block") were represented b

Modified Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Earl G. Winebrenner, 111, Claimant Case Number: 00-01984 Vs. Hearing Site: Louisville, Kentucky Advest, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Earl G. Winebrenner, III ("Winebrenner") was represented by Barry D. Hunter, Esquire, and Lee Norman, Esquire of Brown, Todd & Heyburn, PLLC, Lexington, Kentucky. Respondent Advest, Inc. ("Adve

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between UBS PaineWebber, Inc. Case No. 00-00232 Hearing Location: Oklahoma City, Oklahoma Prudential Securities, Inc. JohnW.Pribyl; George A. Cohlmia; and Jeffery L. Parsons Claimant UBS PaineWebber. Inc. ("PaineWebber") was represented by L. Andrew Brehm, Esq.. of the firm of Schuyler, Roche & Zwirner, located in Chicago, Illinois, and Timothy J. Bomhoff, Esq., of

NASD Regulation, Inc., Award In the Matter of Arbitration Between Guy M, Higgins Lumber Company, Claimant, and No. 97-02376 J.B, Oxford & Company, Inc., and Christopher Anthony Corso, Sr., Respondents, REPRESENTATION OF PARTIES Claimant, Guy M, Higgins Lumber Company ("Higgins,'') was represented by Ronald C. Koksal, Esquire of Butler, Vines and Babb, PLLC located in Knoxville, TN. Respondents, J.B. Oxford & Company, Inc., ("JBOC") and Chris

JLJL.H0.199B 8:18AM NfiSD REGULATION FL N0.66Z P. 12 N.A.S.D, AWARD NASD Regulation, Imj, Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J.W, Charles Securities , Inc. Names of Respondents Jeremy Kdter Crispin Koeoler Securi 97-02374 ties For Claimant Gregor' Tendrich, Esq. of J.W. Charles Securities, Inc., Boca Raton, Florida. Respondent Jeremy Kdter ("Kelter") appeared pro 55. For Res