MfiY. 4.1998 1=35PM NfiSD REGULATION FL NO.096 P. 7/9 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between NanjeofClaiMant Ernald B. Graves Names of Respondents Mary Ellen Detres Bonnie van den Berg 97-01336 The Claimant appeared pro se. The Respondents appealed pro se. CASE INEOftMATlQN Statement of Claim filed: March 17,1997. Letter dated June 8, 1997 from Br

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01334 Janis George c/f Jonathan Slobod, claimant v. J.W. Charles Securities Inc and Michael Marks, respondents. ATTORNEYS: Claimant appeared pro se - Boynton Beach, FL. For Respondents appeared Gegory Tendrich, Esq. - Boca Raton, FL. DATE FILED: 3/17/97 CASE SUMMARY: Claimant alleged unauthorized trades of common stock. Claim Data Award Data Claim

AWARD NASD REGULATION, INC In the Matter of the Arbitration Between Name of Claimants Elaine T. Capobianco Elaine Capobianco 97-01329 Name of Respondent Sean M. Deegan REPRESENTATION Elaine T. Capobianco and Blaine Capobianco ("Claimants") were represented by Joan Markey, Esq., located in New York, New York. Sean M. Deegan ("Respondent") appeared pro se. CASE INFORMATION Claimants filed a Statement of Claim on February 21, 1997.

N.A.S.D. REGULATION, INC. STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Christopher M. Downey 97-01325 Richard A. Barone; Daley Securities, Inc.; Resource Management, Inc. REPRESENTATION For Claimant: Michael N. Ungar of Ulmer & Berne LLP, Cleveland, Ohio. For Respondents: Fred N. Carmen of Carmen, Powers, Krantz & Strauss, Cleveland, Ohio. CASE INFORMATION Statement of C

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Carol L. Tassel 97-01322 Name of Respondent Bear Stearns & Company REPRESENTATION For Claimant Carol L. Tassel ("Claimant") appeared Nathaniel S. Weiner, Esq., with law offices in Norwood, Massachusetts. For Respondent Bear Stearns & Company ("Respondent") appeared Debra K. Mayfield, Esq., of the law firm Shapiro Israel & Weiner PC, located in Boston, Massa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andre J. Jacobs 97-01320 Name of Respondents Cohig & Associates, Inc. Adib Mahdi REPRESENTATION OF PARTIES Andre J. Jacobs ("Claimant") was represented by Mark J. Speck, Esq., Law Offices of Mark J, Speck, San Diego, California. Cohig & Associates, Inc. and Adib Mahdi ("Respondents") were represented by Russell K. Bean,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01319 Mary G. Blazewicz, claimant vs. Donna Roach, respondent. ATTORNEYS: Claimant appeared Pro Se, North Caldwell, NJ, Respondent appeared Pro Se, Scottsdaie, AZ. DATE FILED: March 14, 199' CASE SUMMARY: Claimant alleged that respondent failed to execute an order to purchase shares of Xilinx, Inc. stock. Claim and Counterclaim Data Award Data Clai

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Michael Petra Janice Petra Holly E. Leach Arbitration No. 97-01315 Name of Respondentfal Sovereign Equity Management Corporation REPRESENTATION For Claimants: Ralph R. Smith, Esq., Olympia, Washington For Respondent: Corporate Office, Sovereign Equity Management Corporation, Boca Raton, Florida CASE INFORMATION Statement of Claim file

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION QF SECyRpIES DEALERS REGULATION. EVC. CASE: 97-01301 Matthew E. McCarter, claimant v. Simon Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se - Blue Bell, PA. For Respondent appeared William J. Byrd. ffl - Collingswood, NJ. DATE FILED: 3/13/97. CASE SUMMARY: Claimant alleged breach of contract and failure to pay commissions. Claim Data Award Data Claim: $5,672.00 Award: $.00 Inte

ASffiBE NASD REPUTATION. INC. In the matter of the Arbitration Between Name of Cl John Satterberg Nancy Satterberg Arbitration No. 97-01297 Name of Respondent (a) Black & Company, Inc. Jeffrey L. Salzwedel REPRESENTATION For Claimants: Keith A. Ketterling, Esq., Stoll Stoll Berne Lokting & Shlachter P.C., Portland, Oregon For Respondent Black & Company, Inc.: Thomas C. Sand, Esq., Miller, Nash, Wiener, Hager & Carlsen LLP, Po