NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Donald F. Bamett D. Elizabeth Bamett Marsha Douma David Krantz Kermit O. Twedt Rosemary Phalen Thomas Phalen Carol Vogel Donald Vogel Case No. 97-01475 Name of Respondents A.G. Edwards & Sons, Inc. Steven Krasnow REPRESENTATION For Claimants Donald F. and D. Elizabeth Barnett, Marsha Douma and David Krantz, Kermit O. Tw

NATIONAL ASSOCIATION OF SECUMTIR? "mqff$ REGULATION^ INC. CASE: 97-01470 Robert Wilson, claimant vs. State Street Capital Markets Corp. and John P. Guercio, respondents. ATTORNEYS: Claimant appeared Pro Se - Matawan, NJ. Respondent State Street Capital Markets Corp., did not respond to the Statement of Claim. Respondent John P. Guercio appeared Pro Se - New York,- NY ; . ' ' . . . . . . . . DATE FILED; March 24, 1997

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration between ) DAVID A. GRASCH, ) Claimant, ) v. ) ) Cause No, 97-01469 MERRILL LYNCH, PIERCE, ) FENNER & SMITH INC., ) Respondent. ) REPRESENTATION OF PARTIES David Grasch ("Claimant" or "Grasch") was initially represented by James C. Mosser, Esq. Mr. Mosser filed a Notice of Withdrawal on December 10,1998 and did not attend the final hearing. Mr

SENT BY: 7- 1-98 ; 11:30AM ;NASD ARBITRATION DPT- 12122085165;# 8/12 AWARD NASD REGULATION. INQ T OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimqfltfs^ Ken Rubin v. Name of Respondent's) Chatfield Dean & Co., Inc. Walter Welsh Arbitration No. 97-01465 For Claimant: REPRESENTATION G. Mark Brewer, Esq. Brewer & Carlson, UUP La Jolla, California For Respondent Chatfiel

NASD Regulation, Inc., Award In the Matter of Arbitration Between Roy V. Hackett Family Trust, Roy V. Hackett and Noma M. Hackett, Trustees, Claimants, and No. 97-01462 Commonwealth Associates and Guy Clemente, Respondents. REPRESENTATION OF PARTIES Claimants, Roy V, Hackett Family Trust, Roy V. Hackett and Noma M- Hackett Trustees ("the Hacketts") were represented by Harry A. Woods, Jr., Esq. of Crowe & Dunlevy, located in Oklahoma

NASD REGULATION, INC. AWARD Case No. 97-01460 In the Matter of the Arbitration Between Name of Claimant Jeffrey Richards Names of Respondents D. Blech&Co., Inc. David Blech REPRESENTATION For claimant Jeffrey Richards ("claimant") appeared Eric Rosenberg, Esq. of the law offices Ziegler, Ziegler & Altman located in New York, New York. For respondent D. Blech & Co., Inc. ("Blech & Co.") appeared Nancy Chassman, Esq., a sole practi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01453 Morteza Khatami, claimant v. Joseph Charles & Associates, Inc. and Saaid Nejat, respondents. ATTORNEYS Claimant appeared pro se - Eatontown, N3. For Respondent Joseph Charles & Associates, Inc. appeared Arnold Levine, Esq. - Boca Raton, FL. Respondent Saaid Nejat appeared pro se - Tempe, AZ. DATE FILED: 3/21/97 CASE SUMMARY: Claimant alleged unau

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jasper Roccaforte Case No. 97-01447 Names of Respondents Question Securities, Inc. Sam Ernest Harris Bernard Howard Morry Rusty Anton Neal REPRESENTATION OF PARTIES For Jasper Roccaforte, hereinafter referred to as "Claimant": Patrick A. Davis, Esq. of the law offices of Patrick A, Davis, P.A., Clearwater, Florida. Questron Securities, I

SENT BY: 9- 3-8S ; 8=24AM ;NASD ARBITRATION DPT- 12122085165;* 2/21 IKK?. In che matter of the Arbitration Between Alan Dean Davidson Gayle Merlin Davidson Bruce Davidson Samantha Davidson Scott Davidson Arbitration No. 97-014*6 RftBpfmdQn.fi Sterling Foster & Co., Inc. Adam R. Liebennan For Claimant: Jeffrey S. Grubraan, Esq., Herman Grubman & Wfcwre, Miami, Florida For Respondents; Joseph D'Blia, Esq., Hunt ing ton,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Milton D. Prain and Prain Family Trust, Claimants v. Tradeway Securities Group, Inc. and Dan E. Landau, Respondents Case Number: 00-01887 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Franklin Geerdes, Esq. Geerdes & Geerdes Chula Vista, California For Respondents: Scott M. Kolod, Esq. Kolod, Wager & Nolan, LLP San Diego, Californ