NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Howard Preston Gaines and Case No. 97-01052 Name of Respondent Rocky Mountain Securities and Investments, Inc., and William Elliot Beard REPRESENTATION OF PARTIES Howard Preston Gaines ("Claimant") was represented by Tim Maloney, Esq., San Antonio, Texas Rocky Mountain Securities and Investments, Inc.("

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between MAHENDRA K. BHUKHAN, STERLING HOTELS, INC., and DOMINION INTERNATIONAL, INC., Claimants, v. NASD No. 97-01045 STERLING FOSTER & CO., INC., ADAM LIEBERMAN, CRAIG KELLERMAN, FRANK MONROIG, JOHN MASSARO, and EMMANUEL CARDACI, Respondents. REPRESENTATION OF PARTTES Claimants were represented by Michael Thompson, Esq., and William F. High, Esq., Blackwell, Sander

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay Schriefer and AA Lighting & Electrical 97-01044 Name TDI, Inc., Jerry Manning, and Scott Purcell REPRESENTATION OF PARTIES Jay Schreifer and AA Lighting & Electrical ("Claimants") was represented by Richard Sacks, Investors Recovery Services, Novato, California. TDI, Inc. and Jerry Manning ("TDI") were repr

NASD REGULATION, INC. AWARD Office of Dispute Resolution _ \ In the Matter of the Arbitration Between Satvatot* and Joan Setio Case No. 97-01042 International Assets AdvisoryCorp. Charles Alexander Green REPRESENTATION OP PARTIES For Claimants: Richard C. MJgltocdo, Esq.. of Richard C. Mfellacco PJL, Veto Beach, Floriete untH hia withdrawal on January 29,1998 and, themrfler, by Daniel a Herman, Esq., Aventura, Ftoffda. For Respondents In

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Glenn E. VanVoorhis and 97-01040 Name of Respondent Everest Securities, Ine. Shaun Bassett Richard Anders Andolshek Ruth Marie Miller REPRESENTATION OF PARTIES Glenn E. VanVoorhis ("Claimant") was represented by Floyd E. Siefferman, Esq. and Thomas J. Seymour, Esq. of Saliterman & Siefferman, Minneapolis. Minnesota.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Teresa Layon de Tanus and Abraham Tanus and Names of Respondents United American International, Inc., and Ricardo Moises Abuabara Case Number: 00-01821 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Terminated Member and Associated Person REPRESENTATION OF PARTIES Teresa Layon de Tanus and Abraham Tanus ("Claimants") wer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Admon and Joan Sadik 97-01038 Names of Respondents David Lerner Associates, Inc. Herbert Getzels REPRESENTATION Claimants appeared pro s^ For Respondent David Lerner Associates, Inc. ("David Lerner"): Ruthann G. Niosi, Esq., New York, New York. Respondent Herbert Getzels ("Getzels") appeared pro se.

MfiY. IS. 1998 11:25ftM NASD REGULATION FL NO.579 P. 17 NJLSJD. AWARD ^ NATIONAL AJ5SOCIATION OF SBC^^ ;| In the Matter of die Arbitration Between Mama nf Grady Darrell Markfcam and Carroll C. Markham NASD CASE NO, 97-01094 Outtfidd Dean & Co., Inc., Christopher Tiina, sod Sovereign Equity Management Crop. For Claimants: Stephen D. Spivey, Esq., Ocala, Florida. For Respondent Outfield Dean A Co., Inc. ("Outfield Dean"}: Christa D. Taylor

"JUL.ae.1998 8:Z6fiM NASD REGULATION FL p NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Michael Cleaver Case No. 97-01031 Nameof Re^pond^nt Clark Melvin Securities REPRESENTATION OF PARTIES For Claimant : Peter John Porrata, Esq., San Juan, Puerto Rico. For Respondent Clark Melvin Securities ("CMS"): Nestor M. Mendez-Gomez, Esq. of the law firm of Pletrantoni Mendez & Alvarez, San Juan,

AWARD NASP REGULATION. TNC. f OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantf jft Donald Letcher v. Arbitration No. 97-01029 Name Quick & Reilly, Inc. U.S. Clearing House CASE INFORMATION Statement of Claim filed: February 27, 1997 Claimant's Submission Agreement signed: February 24,1997 Statement of Answer filed: May 22, 1997 Respondent's Submission Agreement signed: Quick