NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(si T.P. Holding Corp. Name of Respondentfs) Schroder, Wertheim & Co., Incorporated Michael F. Dura Gary Salamone Arbitration No. 97-00828 REPRESENTATION For Claimant: Peter Blowitz, T.P. Holding Corp., Camarillo, California For Respondents: Richard W. Smirl, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION Statement of Clai

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant*si A.G. Edwards & Sons, Inc. v. Arbitration No. 97-00825 Name of Respondents') Jeraki David Zacchco REPRESENTATION For Claimant: Catherine Hope Johnson, Esq., A.G. Edwards & Sons, Inc., St. Louis, Missouri. For Respondent: Jcrald David Zaccheo, in pro per CASE INFORMATION Statement of Claim filed: February 12, 1997

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Donaldson Lufkin & Jenrette Securities Corporation 97-00805 Name of Respondents Jack J. Lee Debra A. Luiza-Lee REPRESENTATION Claimant Donaldson, Lufkin, & Jenrette Securities Corporation ("Claimant) was represented by W. Scott Greco, Esq. and Frederick D. Greco, Esq., Greco & Greco, McLean, VA.

NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith, Inc. 97-00804 Name of Respondent Martin H. Maghakian REPRESENTATION Claimant Merrill Lynch Pierce Fenner & Smith, Inc. ("Claimant") was represented by Ralph M. Cursio, Vice President and Senior Counsel, Merrill Lynch Pierce Fenner & Smith, Inc., New York, NY, Respondent Martin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sutro & Co. Ihcorporated, Claimant vs. Max J. Safdie, Respondent. Case Number: 00-01804 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Sutro & Co. Incorporated ("Sutro"), hereinafter referred to as "Claimant": David H.S, Commins, Esq., San Francisco, California Respondent, Max J. Safdie, hereinafter referred to as "Respondent": Patrick H. Fabian, E

NASD REGULATION AWARD Name of Claimant Deborah Moore 97-00802 f tw Wall Street Equities, Inc. REPRESENTATION Claimant Deborah Moore ("claimant") appeared pro se. For respondent Wall Street Equities, Inc. ("respondent") appeared Ronald E. Berti, Treasurer of Wall Street Equities, Inc. CASE INFORMATION Statement of Claim was filed on February 14, 1997. Claimant's Submission Agreement was signed on February 11, 1997. Amended Statement of Cl

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Dominic Poeta Claimant, and No. 97-00800 William Cutrone; Robert Conforte; Mark Blonder; and Investors Associates. Inc. Respondents. REPRESENTATION OF PARTIES For Claimant: Dominic Poeta ("Poeta") was represented by: Mark A. Levinc. Esq. of Davis, Dodd. Levine & Miller. Ltd., located in Minneapolis, Minnesota. For Respondents: Investors Associates

NASD Regulation, Inc., Award In the Matter of Arbitration Between Rauscher Pierce Refsnes, Inc., Claimant, and No. 97-00798 Louis S. Riley, III, Respondent. REPRESENTATION OF PARTIES Claimant, Rauscher Pierce Refsnes, Inc., ("RPR") was represented by Gina K. Culpepper, Esquire of Munsch, Hardt, Kopf, Harr & Dinan, P.C., located in Dallas, Texas. Respondent, Louis S. Riley, III ("Riley") was represented by Dan A. Druz, Esquire of Manasquan, N

AWARD OF DISMISSAL NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Joseph and Madelaine Cavegn Alexander and Pascale Cavegn vs. Arbitration 97-00797 Consolidated with 97-00910 Name of Respondents Royal Alliance Associates, Inc. Gary W. Krat vs. Third Party Respondent Donald Denton REPRESENTATION Claimants Joseph Cavegn, Madelaine Cavegn, Alexander Cavegn, and Pascale Cavegn (collectively "

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. OFFICE OF DISPUTE RESOLUTION JOHN PARK. Claimant. and TERRA NOVA TRADING L.L.C.. Respondent. § § NASD No. 97-00796 S § § § § § REPRESENTATION OF PARTIES Claimant, John Park was represented by Mark F. Elvig, Esq. of Ryan &. Sudan. L.L.P. located in Houston, Texas. Respondent, Terra Nova Trading L.L.C. was represented by Stephen J. Senderowitz. Es