NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Ida and Samuel Abrahams 97-01754 Name of Respondent Abraham Mandelbaum REPRESENTATION For Claimants Ida and Samuel Abrahams ("Claimants") appeared Claimant Samuel Abrahams pro se. For Respondent Abraham Mandelbaum ("Respondent") appeared Mitchell K. May, of the law offices of Singer, Singer & May, LLP, located in New York, New York. CASE INFORMATIO

NASD REGULATION, INC. AWARD In the Matter of Arbitration Between Karen Felsing Evans, Claimants, and Case No. 97-01753 Tradeway Securities Group, Inc. and David Hernandez, Respondents. REPRESENTATION OF PARTIES Claimant, Karen Felsing Evans did not appear at the hearing yet was represented in the pleadings by D. Wade Hayden, Esquire of John M Killian & Associates located in San Antonio, Texas. Respondent, Tradeway Securities Group, Inc. was

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Wilson Family Trust v. Name of Respondents R. D. White & Company, and Anthony Orlando Arbitration No. 97-01751 REPRESENTATION For Claimant: For Respondent R. D. White & Company: For Respondent Anthony Orlando Irving M. Einhorn, Esq. Law Offices of Irving M. Einhom Los Angeles, California Seth T. Taube, E

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas F. Bake well and 97-01748 Name of Respondents Ronald N. Shinault. and J.C. Bradford & Co. RKPRKSKM ATION OF PARTIES Thomas F. Bakewell ("Claimant") appeared on his own behalf. Ronald K. Shinault ("Shinault"). and J.C. Bradford & Co. (",ICB"){ collectively referred to as "Respondents") were represented by Claude Ramer.

N.A.SJ). REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01747 Gertrude Aronson, claimant v. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared pro se - Brooklyn, NY. For Respondent appeared Alicia Reines-Leo, Esq. - Boston, MA. DATE FILED: 4/8/97 CASE SUMMARY: Claimant alleged failure to execute order to sell a mutual fund. Claim Data Award Data Claim: $3,130.90 Award: $.00 Puni

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gary W. Smith and Kathleen Smith, Jointly and Gary W. Smith IRA u/a/d 6-26-96, Claimants, v. No. 97-01746 Investors Associates, Inc., William Cutrone, Frank DiCarlo, Herman Epstein, and Lawrence L Penna, Respondents. REPRESENTATION OF PARTIES Claimants Gary W. Smith and Kathleen Smith, Jointly and Gary W. Smith IRA u/a/d 6-26-96 ("Claima

NASD DISPUTE RESOLUTION AWARD NAjSD DISPUTE RESOLUTION. INC. CASE: 00-01918 Xinang Chen, claimant vs. MyDiscountBroker.com, respondent. ATTORNEYS; For Claimant appeared Romaine L. Gardner, Esq,, Brooklyn Law School, Securities Arbitration Clinic, Brooklyn, NY. For Respondent appeared Dena G. Mastrogiovanni, Esq., of the firm Jenkens & Gilchrist, P. C., Dallas, TX. DATE FILED: May 8, 2000 CASE SUMMARY: Claimant alleged that respondent erroneously

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: E*Trade Securities, Inc., (Claimant) vs. Ramina and Dwight Hoarau, (Respondents) Case Number: 00-00226 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, E*Trade Securities, Inc., hereinafter referred to as "Claimant": Stephen G. Frye, Esq., Bird, Marella, Boxer & Wolpert, Los Angeles, CA. Respondents, Ramina and Dwight Hoarau, hereinafter collectively referr

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Glen Tilton Gardner v. Arbitration No. 97-01744 Name of Respondents Wedbush Morgan Securities and Edward W. Wedbush REPRESENTATION For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Jon L. Rewinski, Esq. Wedbush Morgan Securities Los Angeles,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tiie Arbitration Between Name of Claimant Rochelle Markov vs. 92-04067 Name of Respondent D.H. Blair & Company REPRESENTATION For Claimant, Rochelle Markov ("Claimant"): Barry Quint, Esq. located in Valley Cottage, New York. For Respondent, D. H. Blair & Co., Inc.: Helene M. Freeman, Esq. of Siiea & Gould located in New York, New York. CASE INFORMATION State