NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Atul Thakrar 97-01433 Name of Respondents Investors Associates, Inc. Robert W. MacDowell Paul D'Onofrio, Jr. William M. Cutrone Mark S. Blonder REPRESENTATION For Claimant Atul Thakrar ("Claimant"): Roseann E. Weisblatt, Esq., Lawrence E, Feldman & Associates, Jenkintown, PA For Respondent Investo

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Louis A. D'Andrea Case No. vs. 97-01429 Name of Respondents Prudential Securities, Inc. Gerald P. McBride REPRESENTATION For Claimant Louis A. D'Andrea ("Claimant") appeared James Keegan, Esq., from the law firm of Bendit Weinstock located in West Orange, New Jersey. For Respondents Prudential Securities, Inc. ("Prudential") and Gerald P. McBride ("

N.A.S J>* REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGITLATION. INCV CASE: 97-01420 William and Dianne Cubbertey, claJmants vs. Greenway Capital Corp. and Richard Rotgers, Jr., respondents. ATTORNEYS: Claimants appeared Pro Se, Bwing, NJ. For Respondent Greecway Capital Corp. appeared John Margiotta, President, New York, NY. Respondent Richard Rotgers, Jr. appeared Pro Se, Lake Success, NY. DATE FILED: March 20, 1997 CASE SUMM

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lung Chi Chen, (Claimant) vs. A.R. Baron & Co., Inc., Kensington Wells, Inc., VTR Capital, Inc., Lloyd Wade Secarities, Jonathan Adwar, Robert Cassino, Patrick Murtagh, Michael Newman and Kerry Raheb (Respondents) Case Number: 97-01408 Hearing Site: New York City, NY REPRESENTATION OF PARTIES Claimant Lung Chi Chen ("Claimant"), hereinafter referred to as "Claimant": Ant

MflR,27.1998 4:24PM NflSD REGULflTIOH FL NO.903 P.11/12 NASD STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant J. C. Bradford & Co. Case NO. 97-01405 Nania .Robin Murray Smitbccnum For Claimant: Linda WMte, Esq. of J.C. Bradford & Company of Nashville, Tennessee. For Respondent: Hugh B. Harris, Jr., Esq. of Harna & Associates, L.L.C., Bessemer, Alabama. Statement of Claim filed M

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01403 Michael S. Kissner, claimant v. LT Lawrence & Co., Inc. and James Toto, respondents. ATTORNEYS: Claimant appeared pro se - Dallas, TX. For Respondents appeared Ruthann Niosi - New York, NY. DATE FILED: 3/19/97 CASE SUMMARY: Claimant alleged misrepresentation; failure to disclose material facts; and charging excessive market on purchase. Claim Dat

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Russell fteemer and ra-rnl Beemer. and first Hapnver g^nr-i ties. — Inc nominic Romano 97-01399 REPRESENTATION Op PARTIES Russell Beemer and Carol Beemer ( "Claimants » ) represented themselves. First Hanover Securities, Inc. and Dominic Romano ("Respondents 11 ) were represented by Charles M. O'Rourke, Esq. from Garden City, New

NASD DISPUTE RESOLUTION AWARD DISPUTE RESOLUTION. INC. CASE; 00-01885 Alex Zolkevsky, Jr., ciairoatit vs. Baxter, Banks & Smith, Ltd., respondent. ATTORNEYS: Claimant appeared Fro Se, Fannington Hills, MI. For Responded appeared F. Martin McDermott, St. Petersburg, EL. DATE FILED: May 4, 2000 CASE SUMMARY; Claimant alleged that through fraud, negligence, and securities rule violations, ne incurred losses. ; ARBITRATOR'S REPORT: The claimant fail

AWARD NASD Dispute Resolution In the Matter of the Aibitration Between Claimants Karen Howsam, Individually and as Trustee for the E. Richard Howsam, Jr. Irrevocable Life Insurance Trust dated May 14,1982 v. 97-01394 Denver, Colorado Respondents Dean Witter Reynolds, Inc., Robert P. Howard, and Paul J. Siler and Counter-Claimants Dean Witter Reynolds, Inc., and Robert P. Howard v. Counter-Respondents Karen Howsam, Ind

NASD REGULATION, INC. AWARD Case No. 97-01391 In the Matter of the Arbitration Between Name of Claimant Troy Francisco Names of Respondents Euro-Atlantic Securities, Inc. James Anthony Contacessa REPRESENTATION For claimant Troy Francisco ("claimant") appeared Gregory P. Parsons, Esq. of the law offices Stites & Harbison located in Lexington, Kentucky. Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic") did not enter an appearanc