N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Austin E. Hills 97-02338 Name of Respondents State Street Capital Markets Corp. Tom Ishak a.k.a. Ezzat Tom Ishak REPRESENTATION OF PARTIES For Claimant: Gerald P. Gross, Esq., Law Offices of Gerald P, Gross, New York, New York. For State Street Capital Markets Corp.: Did not appear. For Tom Ishak a.k.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John H. Jory, Claimant v. John Wesley English; Gray Emerson Cardiff; Harley Neal-Hill; English, Cardiff and Hill, Inc., d.b.a. Sound Advice Investments; JWE Securities, Inc.; J.W. English Companies; J.W. English Development Co.; J.W. English Real Estate, Inc.; J.W. English Management Co.; Gray Cardiff & Company, Inc.; Sound Advice Tax Planning and Investment Services, Inc.; The Sound Advi

TIE STIPLUATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Eileen A. Seamans and Michael J. Huryn, Claimants. - . .- v. Nc. 97-02309 Joseph Trocchio and Roney & Co., Respondents. REPRESENTATION Of PARTIES Claimants Eileen A. Scamans and Michael J. Huryn ("Claimants") were represented by Frederick K. Hoops, Esq., Frederick H. Hoops, III, Esq. and Daniel S. Hoops, Esq. of Hoops, Hoops &

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of. Claimants Ada Mae Warring ton Lloyd & Ruby Moore 97-02302 Name of Respondents Jeffrey S. Szur J.S. Securities, Inc. William N. Whelen, Jr. Overwhelmed, Ltd. REPRESENTATION For Claimants Ada Mae Warrington ("Warrington") and Lloyd and Ruby Moore (collectively "Moore") were represented by: Michael G. Cullen, Esq., Media, PA Respondents Jeffrey Szur ("

. NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Jonathan Spiegel 97-02300 Names of Respondents First United Equities, Corp. Douglas Traynor Jonathan Winston Jason Cohen REPRESENTATION For claimant Jonathan Spiegel ("claimant") appeared Casey Baum, Esq., a private practitioner with offices located in New York, New York. For respondents First United Equities, Corp. ("First United"), Douglas Trayn

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Edwin S. Jackson vs. 97-02299 Name of Respondent Daniel Porush REPRESENTATION Claimant Edwin S. Jackson {"Claimant") was represented by John S. Barr, Esq., McGuire, Woods, Battle & Booth, Richmond, VA. Respondent Daniel Porush ("Respondent") did not appear. CASE INFORMATION The Statement of Claim was filed May 8, 1997. Claimant's Uniform Submiss

NAflONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Case No. 89-00598 GLORIA WERDELL Claimant(s) and THOMAS DELANEY Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about Apri1, 18, 1989, Claimant Gloria Werdell ("Claimant") alleged that Thompson McKinnon Securities, Inc. and Respondent Thomas Oelaney ("Respondent") recommended an investment in limited partnership interests in Snyder Oil

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02298 Frederick W. Guidi, claimant vs. H.J. Meyers & Co. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Needham, MA. For Respondent appeared in-house counsel, George P. McDonald, Esq., Rochester, NY. DATE FILED: May 8, 1991. CASE SUMMARY: Claimant alleged that respondent engaged in unauthorized transactions in his account. Claim Data Award Data

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC, CASE: 97-02297 Marketing One Securities, Inc., claimant v. Ivon Campo, respondent. ATTORNEYS: For Claimant appeared Joel S. Kaplan, EVP - Portland, Oregon. Respondent appeared pro se - Murrieta, California. DATE FILED: May 08, 1997 CASE SUMMARY: Claimant alleged customer was credited funds in error and refuses to return assets to claimant. Claim Data Claim

n j •? />• N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02295 Gordon E. Michie, claimant v. A.S. Goldmen & Company, Inc. and Patrick C. Ryan, respondents. ATTORNEYS: Claimant appeared pro se - Newport Beach, CA For Respondent A.S.Goldmen & Company, Inc. appeared Carole R. Bernstein, Esq. Norwalk, CT. Respondent Patrick C. Ryan appeared pro se - New York, NY. DATE FIT .HP: 5/8/97 CASE SUMM