NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Dale and Arlene Long 97-01881 Name of Respondents Investors Associates, Inc. William Cutrone Herman Epstein Doug Mangan Lawrence Penna Robert Conforte Vincent Grieco REPRESENTATION For Claimants Dale and Arlene Long ("Claimants") appeared Thomas J. Dennin, Esq., with law offices in New York, New York. Respondent Investors Associates

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant James M. Long v. Arbitration No, 97-01880 Name of Respondents La Jolla Securities Corporation, Bruce Biddick and Richard L. Goodrich Name of Counter-Claimant La Jolla Securities v. Name of Counter-Respondent James Long REPRESENTATION For Claimant and Counter-Respondent: Bruce A. Spear, Esq. Lewis, Hoxie & Spear San Diego, Califor

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Jack Taylor, Pearl Taylor The Taylor Revocable Trust 97-01877 Names of Respondents Gruntal & Co., Inc. GKN Securities Corp. Brian Gabbard George Choi REPRESENTATION For Claimants: Dennis A. Nowak, Esq. of Tew and Nowak, Miami, Florida. For Respondent Gruntat & Co., Inc. ("GruntaT): Peter Vaughn, Esq. of Gruntal & Co., Inc., New York, New York.

\\SO RI.GU.M!' X. INC \\VAR! In liisj M.u;ci >: ;hc Arbitration Between Name of Claimant Janice Sobrano 97-01874 Name of Respondent Dominick and Dominick, Inc. REPRESENTATION For Claimant Janice Sobrano ("Claimant"), appeared Thomas S. Doerr. Esq. from the law firm of Garrubbo and Romankow located in Westfield, New Jersey. For Respondent Dominick & Dominick, Inc. ("Dominick"), appeared Robert C. Harrison, Esq., in-house counsel for Domin

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Frederic David Pinsler and 00-1937 Chicago, Illinois Name of Respondents Howe Barnes Investments, Inc.; Howe Barnes Financial Services, Inc.; and John J. Sweeney Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Frederic David Pinsler ("Claimant") or ("Pinsler") was represented by Steven Robert Verr, Esq.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Abu Manuh and Elvis Manuh, JTWROS vs. Case No. 97-01871 Name of Respondents James Scott The Harriman Group, Inc. Brian Scanlon Mark Hanna Thomas Fede John Simonetti Frank Casillo REPRESENTATION For Claimant Abu Manuh and Elvis Manuh, (collectively "Claimants") appeared Audra Acquavella, Esq. of the firm Singer Zamansky, LLP, located

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURIT ttALRR llLATION. INC. CASE: 97-01869 Demitri Zadelis, claimant vs. Spencer Trask Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Palco Psihiko, Athens, Greece. For Respondent appeared its Chief Compliance Officer, Ronald J. Luken, New York, NY. DATE FILED: April 14, 199T CASE SUMMARY: Claimant alleged that respondent is responsible for misrepresentation regarding investment

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01867 John C. Miller and Carrie Renner, claimants v. Sentra Securities and Forrest Todd Keady, respondents. ATTORNEYS: Claimants appeared pro se - Phoenix, Arizona. For Respondent Sentra Securities appeared Gregory D. Fitzpatrick - San Diego, California. Respondent Forrest Todd Ready did not appear. DATE FILED: April 14, 1997 CASE SUMMARY: Claimants al

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Rhonda F. Ladd, Claimant vs. Midwest Discount Brokers, Inc., Jeffery A. Fanning, and Gary M. DeWeese, Respondents. Case Number 97-01866 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PAKTfES Claimant, Rhonda F. Ladd hereinafter referred to as "Claimant": Mr. Robert A. Uhl» Esq. of Aidikoff & Uhl, 9454 Wilshire Blvd., Penthouse Suite, Beverly Hills. CA 90212. Respondents, Midwest

TIT 12:1" FAX AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Wayne M. Gilmore. Claimant. v. No. 97-01864 Feldman Investment Group. Inc.. anrt Feldman Asset Management. RespondentS- REPRESENTATION OF PARTIES Claimant Wayne M. Gilmore rClaimanf") was represented by Stuart R. Herkowirz, bsq. of St. Louis, Missouri- Respondents Feldman Investment Group, Inc. and Feldman Asset Man