NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sam Halpert Case No. 97-01124 Names of Respondents Smith Barney, Inc. Thomas Meier REPRESENTATION OF PARTIES Claimant Sam Halpert appeared pro se. For Respondents Smith Barney, Inc. ("SB") and Thomas Meier ("Meier"): Christopher B. O'Malley, Esq. of Smith Barney, Inc., New York, NY. CASE INFORMATION Statement of Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE; 00-01838 Langdon D. Harrison, Claimant vs. Christian Rescate, Lawrence R. Dugo, Joseph C. Quatt Rochi, Anthony J. Aliotta, Shamrock Partners, Respondents. ATTORNEYS: Claimant, Langdon D. Harrison,(''Claimant") appeared through Victor E. Carlin, Esq., of the firm of Moses, Dunn, Farmer & Tuthill, Albuquerque, NM. Respondent Christian Rescate did not respond to the Statement of Claim. R

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Joseph Eklund v. Arbitration No. 97-01121 Name of Respondent(s) Prudential Securities Inc. Lawrence Lindner REPRESENTATION For Claimant. Daniel J. Cronin, Esq. Cronin & Cronin Escondido, California For Respondent Prudential Securities: Martin Hunger, Esq. Prudential Securities, Inc. New York , New Yor

09*45 FROM;NASD REGULATION INC. ID PAGE 21X33 AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Purshotam Jolly v. Arbitration No. 97-01114 Name of Respondents Toluca Pacific Securities Corporation; Peter Blowitz;; Schroder Wcrtheim, Inc, REPRESENTATION For Claimant; Lawrence M. Kahn, Esq. Marc A. Indeglia, Esq. Jaman 7 Kahn & Associates For Respondent Peter

c/ \\ v \ ^ NASD REGULATION AWARD In the Matter of the Arbitration Between Names of Claimants Robert D. and Joan M. McKeracher 97-01112 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Alvin Feit Thomas Tanner REPRESENTATION For claimants Robert D. and Joan M, McKeracher ("claimants") appeared Steven B. Caruso, Esq. of the law offices Maddox Koeller Hargett & Caruso located in New York, New York. For respondents

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joseph Dillon & Company, Inc. 97-01111 Name of Respondent Anthony Buonadonna REPRESENTATION For Claimant Joseph Dillon & Company, Inc. ("Claimant") appeared Chase A. Caro, Esq., of the law office Caro & Graifman, P.C., located in New York, New York. For Respondent Anthony Buonadonna ("Respondent") appeared Charles A. Crocco, Jr., Esq., of the law office

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Frederick lossa 97-01105 Name of Respondents Jeff Adam Berger Global Securities Group REPRESENTATION Claimant Frederick lossa ("Claimant") appeared pro se. Respondent Jeff Adam Berger ("Berger") appeared pro se. For Respondent Global Securities Group ("GSG") appeared Robert Carlin, Esq. from Global Securities Group, Inc. located in New York, New York.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. ^ == ^ s= ^ =ss = = ^ s:s ^^^^^^^^ =sl ^^^z^B ! ^^ =: ^^^^5^=^=ss^^^^^^s=as=^^^^^—^^^^^^^^^^^^^^-s:~^^^^^^—a = czzaea!v— . ' =^^^=^^^^=aj=s=J^=s^^^=a CASE: 97-01104 Vincent J. Russo, claimant v. Hillcrest Financial Corp., respondent v. Boris Rentzer, 3rd party respondent. ATTORNEYS: Claimant appeared p

N.A.S J>. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01103 Richard C. Thorne, claimant v. Norfolk Securities Inc a/k/a Cressida Capital, inc., respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Glenview, IL Respondent did not appear. DATE FILED: 3/4/97 CASE SUMMARY: Claimant alleged unauthorized sale and purchase of common stocks. Claim Data Award Data Claim: $5,500.00 Award: $5,500.00

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-1101 Mukesh K. Thak p -, claimant v. Shawn Butterbaugh, respondent. ATTORNEYS: Claimant appeared pro se - Gaithersburg, MD Respondent did not respond DATE FILED: 3/4/97 CASE SUMMARY: Claimant alleged misrepresentation and omission of fact in the purchase of stock.. Claim Data Award Data Claim: $4,200.00 Award: $.00 Punitive: $.00 Punitiv