N.A.SJ>. REGULATION AWARD NATIONAL AEgQCI&r£.)N OF SECURITIES DEALERS REGULATION, INC. CASE: 97-01210 John Mascia, claimant v. Daniel J. Gail^her and J.B. Oxford & Company, Inc., respondents. ATTORNEYS: Claimant appeared pro se - Bronx, NY For respondent Daniel J. Gallagher appeared Dan Brecher, Esq. - New York, NY For Respondent J.B. Oxford & Company, Inc. appeared Scott G. Monson, Esq. - Beverly Hills, CA. DATE FILED: 3/10/97 CASE SUMMARY: Cla

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALER? REGULATION. INC. CASE: 97-01209 David F. Miller, claimant v. Peter Faggione and Richard B. Zera, respondents. ATTORNEYS; Claimant appeared pro se - Cormeautville, Pennsylvania. For respondents appeared Manfred Putzka, Esq., Carle Place, New York. DATE FILED: March 10, 1997 CASE SUMMARY: Claimant alleged unauthorized trading and high pressure telephone calls. Claim Data Award Data

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 97-01208 Name of Respondent Stephen P. Collins REPRESENTATION Claimant Dean Witter Reynolds, Inc. ("Claimant") was represented by John H. West, III, Esq., Baltimore, MD. Respondent Stephen P. Collins ("Respondent") appeared pro se. CASE INFORMATION The Statement of

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Names of Claimants Robert D. Levy Michael R. Hollingsworth Case No. 97-01207 vs. Name of Respondent Yamaichi International (America) Inc. REPRESENTATION For Claimants Robert D. Levy ("Levy") and Michael R. Hollingsworth ("Hollingsworth"), hereinafter collectively referred to as "Claimants," appeared Leon Baer Borstein, Esq. of the law firm Borstein & Sheinbaum located i

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Craig Bennett Case No, vs. 97-01205 Names of Respondents Schroder Wertheim & Co., Inc. ca Pacific Securities Corp. 'Michael Mancusi Paul T. Fiorini REPRESENTATION For Claimant Craig Bennett ("Claimant") appeared Joseph P. LaSala, Esq. of the law firm McElroy, Deutsch & Mulvaney located in Morristown, New Jersey. For Respondent Schroder Wertheim

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Magdy and Evelyn Youssef 97-01204 Name of Respondents Josephthal Lyon & Ross Inc. John Audifferen REPRESENTATION For Claimants Magdy and Evelyn Youssef ("Claimants") appeared Brian Graifman, Esq. and Stephanie Rosenblatt, Esq., of the law firm Caro & Graiftnan, PC located in New York* New York. For Respondents Josephthal Ly

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lyle Elliott v. Amentrade, Inc., Ameritrade Clearing, Inc., and Advanced Clearing, Inc. Case Number: 00-01847 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Kerry M. Kinney, Esq. Kinney & Chaumont Calabasas, California For Respondents: James J. Vihstadt, Esq. Ameritrade, Inc. Bellevue, Nebraska CASE INFORMATION Statement of Cl

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Andrew Warshaw Case No. 97-01203 vs. Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION Claimant Andrew Warshaw ("Claimant") appeared pro se. For Respondent Dean Witter Reynolds, Inc. ("Respondent") appeared Melinda Socol Herbst in-house counsel at Dean Witter Reynolds, Inc. located in New York, New York. CASE INFORMATION Statement of C

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Andrew Warshaw 97-01202 Name of Respondent Paine Webber, Inc. REPRESENTATION Claimant Andrew Warshaw ("Claimant") appeared pro se. For Respondent Paine Webber, Inc. ("Respondent") appeared Jill L. Rosenberg, Esq., of the law firm Orrick, Herrington & Sutcliffe, LLP, located in New York, New York. CASE INFORMATION Statement of Claim filed on: April 0

N.A.SJX REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Louis M. Hansen Louis M. Hansen Trust 97-01196 Name of Respondents McLaughlin, Piven, Vogel Inc. James Griffeth REPRESENTATION OF PARTIES For Claimant: Brian J. Duckworth, Esq., Law Offices of Brian J. Duckworth, San Jose, California. For Respondents: Ira A. Cohen, McLaughlin, Piven, Vogel Inc., New York,