JUL. 1.1999 7:23Af1 N0.805 P.42 * . AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between * Steve MoUer 97-01082 Names of Respondents A.S. Goldmen & Company, Incorporated Sheldon Wilson REPRESENTATION Claimant appeared pro se. Claimant's fanner counsel, Frederick J. Keitel, Esq. of Keitel & Keitel, P.A., Palm Beach, PL, withdrew on October 12, 1998. For Respondent A.S. Goldmen & Company, Incorporated ("Goldmen"): C

NASD Regulation, Inc., Award In the Matter of Arbitration Between Empire Steel, Inc., and Frank £. Gunnels, Claimants, and No. 97-01079 HGI, Inc., Steve Arevalo, Steve Pa him bo, John Siznonetti, Brian D. Scanlon, and Mark A. Hanna, Respondents. REPRESENTATION OF PARTIES Claimants, Empire Steel, Inc., ("Empire Steel') and Frank E. Gunnels ("Gunnel?) were represented by Gerald S. Siegmyer, Esquire of Greenberg, Peden, Siegmyer & Oshman, P

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of. Ch Angela. Louis P. & Michael A. Cuglietto 47- (HOW Name of Respondents USLile Equity Sales Corp. Gary M. Ferrone REPRESENTATION For Claimants Angela, Louis P. and Michael A. Cuglietto ("Claimants") appeared Sidnev A. Weisbcrg. Esq.. with fa\v offices in Great Neek. New York. Respondent US Life Equilv Sales Corp. ("USLile") was represented by Michael Bolo/ky, l

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas R, Tondo NASD CASE NO. 97-01061 Name of Respondent Pacific Brokerage Services, Inc. REPRESENTATION The Claimant appeared pro se. For Respondent: James R. Kruger, Compliance Officer of Pacific Brokerage Services, Inc. ("PBS"). CASE INFORMATION Statement of Claim filed on March 3, 1997. Claimant's Submission Agreem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond, James & Associates, Inc. Case No. 00-01828 Name of Respondent William E. Evans Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimant, Raymond James & Associates, Inc. hereinafter referred to as "Claimant": : Paula ; D. Shaffner, Esq., Saul Ewing LLP, Philadelphia, Pennsylvania. ^ l • Respondent,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC, CASE: 97-01060 David Black, claimant vs. J.S. Securities, John Mennerich and Nelson Walker, respondents. ATTORNEYS: Claimant appeared Pro Se, Boulder, CO. Respondents J.S. Securities and John Mennerich did not respond to the Statement of Claim. Respondent Nelson Walker appeared Pro Se, Brooklyn, NY. DATE FILED: March 3, 1997. CASE SUMMARY: Claimant alleged that res

NASD REGULATION. INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION 1 In the Matter of the Arbitration Between Name of Claimant Carlene Bawden 97-01059 Name of Respondents Global Financial Group, Inc. Neil Engquist, Jr. Eric Gudrais Cece Luikens REPRESENTATION Claimant Carlene Bawden ("Claimant") was represented by Bruce Sanders, Esq. of ihe law office of Bruce Sanders, Silver Springs. MD. Respondents Global Finan

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC» CASE: 97-01057 Thomas J. Walsh, claimant v. Norfolk Securities Corporation, Rondo Hosang and RPR Correspondent Services, respondents. ATTORNEYS: Claimant appeared pro se - Poughkeepsie, NY. Norfolk Securities Corporation did not appear. Respondent Rondo Hosang is deceased. RPR Correspondent Services settled with the claimant. DATE FILED: 3/3/97 ~ CASE SUMMA

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01054 Harold E. and Donald R. Stephens, claimants v. Euro-Atlantic Securities, Inc. , respondent. ATTORNEYS: Claimants appeared pro se - Rushville, IL. Respondent did not appear. DATE FILED: 3/3/97 CASE SUMMARY: Claimants alleged failure to follow instructions regarding the sale of common stock. Claim Data Award Data Claim: $7,521.00 Award: $5,000.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name uf Claimant Philip Calderone Case No. vs. 97-01053 Name of Respondent David Lerner Associates REPRESENTATION Claimant Philip Calderone ("Claimant") appeared pro se. For Respondent David Lerner Associates ("Respondent") appeared Ruthann Niosi, Esq., a sole practitioner, located in New York, New York. CASE INFORMATION Claimant's Statement of Claim was filed o