N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Frank G. Mauro Case #97-02110 Names of Respondents Dean Witter Reynolds Inc. Harry T. Haas REPRESENTATION For Claimant: Gerald B. Kline, Esq. of the law firm of Sims, Moss, Kline & Davis, LLP, Atlanta, Georgia. For Respondents; Paul W. Stivers, Esq. of the law firm of Rogers & Hardin, Atlanta, Georgia. CASE INFO

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Paul S. Rabinowitz 97-02108 Name of Respondent Raymond, James & Associates, Inc. REPRESENTATION For claimant Paul S. Rabinowitz ("claimant") appeared Robert Loewenthal, Esq., of the law offices Loewenthal & Jackson, LLP, located in Atlanta, Georgia. For respondent Raymond, James & Associates, Inc. ("respondent") appeared Scott Ratchick, of the law offices Hunton

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Thomas W. Katofiasc, and and Mary Ellen Katofiasc, Claimants and Counter-Respondents, v. No. 97-02103 David S- Isolano, Respondent, Counter-Claimant, and Cross-Claimant, v. R.T.G. Richards & Company, Inc. a/k/a Matrix Securities Corporation, Hanifen, Imhoff Holdings, Inc., Hanifen, Imhoff Clearing Corporation, James S. Dolan, Ant

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant The Strahle Trust of 1986, Frederic E. and Eunice L. Strahle, Trustees > v v. Arbitration No. 97-02101 Name of Respondents Titan/Value Equities Group, Inc., Ronald Berg, and Margaret Boland REPRESENTATION For Claimant: Richard Sacks Investors Recovery Service Novato, California For Respondents: G. Th

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Frank M Sims, Jr., Claimant, v. No. 97-02097 Roney & Company, Lewis H. Echlin, III and Leon Sirvaitis, Respondents. REPRESENTATION OF PARTIES Claimant Frank M. Sims, Jr. ("Claimant") was represented by James A. Fajen, Esq. of Davis and Fajen, P.C. located in Arm Arbor, Michigan. Respondents Roney & Company ("Roney & Co. 1 '), Lewis H

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John Herman, Irene Herman, and Richard Crowther v. Arbitration No. 97-02095 Name of Respondent Richard Steele, Sr., Richard Steeie Jr., Rockerfeller, Rothschild & Steele, Danny Pinkerton, Kevin Campbell, Schroder Wertheim & Co. Inc., and First Montauk Securities Corporation REPRESENTATION For Claimants: Steven L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Margaret Tillmans, John Tillmans, and Sharon Tillmans, (Claimants) v. Geneva Securities, Inc., Richard M. Eisenrnenger, David L. Gmeder and James K. Zurek (Respondents) and James K. Zurek (Cross Claimant) v. Geneva Securities, Inc. and Richard Eisenrnenger (Cross Respondents) Case Number. 00-01967 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant I _«_ Stephen A. Gross Case No. 97-02088 Names of Respondents Merrill Lynch Pierce Fenner & Smith, In;;. Gary M. Sinderbrand Steven A. Sinderbrand REPRESENTATION For claimant Stephen A. Gross ("claimant") appeared Gerard C. Gross, Esq., with offices located in Northfield, New Jersey. For respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Me

N.A.SJ>. REGULATION AWARD NATIONAL ASSOCIATIpN OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02075 Henry A. Singer, claimant v. Fred Tropeano and L.T. Lawrence & Co., respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Southport, CT. For Respondent L.T. Lawrence & Co. appeared Ruthann G. Niosi, Esq. - New York, NY. Respondent Fred Tropeano appeared pro se - New York, NY. DATE FILED: 4/25/97 CASE SUMMARY: Claimant alleged unauthoriz

JUN.29.1998 3:02PM NRSD REGULflTION FL NO. 634 P. 9 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Nane of PaineW.ebber, Inc. 97-02074 Name of Respondent Matthew I. McGrath For Claimant PaineWebber, Inc. ("PaineWebbeO: PatriciaE. Cowart, Esq. ofPaineWebber, Inc., Fort Lauderdale, Florida. Respondent Matthew I. McGrath CMcGratfa") appeared pjfi jg. CASE INFORMATION Statement