AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant J. Harold Byrd Case No. vs. 97-00795 Name of Respondents La Jolla Capita] Corp. Chris Sagnelli REPRESENTATION For Claimant, J. Harold Byrd ("Claimant"), Robert H Putnam, Jr.. Esq.. located in Atlanta. Georgia. For Respondents La Jolla Capital Corp. ("La Jolla") and Chris Sagnelli ("Sagnelli), (collectively, "Respondents"), James C. Weaver, Esq., loc

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Richard C. Smith 97-00793 Name of Respondent R. Seelaus & Co., Inc. REPRESENTATION For Claimant Richard C. Smith ("Claimant") appeared John E. Lawlor, Esq., a private practioner located in Mineola, New York. For Respondent R. Seelaus & Co., Inc. ("Respondent") appeared Morgan W. Bentley, Esq., a private practioner located in Newark, New Jersey. CASE INF

NASD REGULATION. INC. STIPULATED AWARD In the Matter of the Arbitration Between Name of Claimant Paul K. Beatenbough 97-00791 Names of Respondents Euro-Atlantic Securities, Inc. Glen Edward DeLuca David P. Melitlo REPRESENTATION For Claimant Paul K. Beatenbough ("Claimant") appeared Joseph F. Keenan, Esq. of the law firm Bochat & Keenan, P.C. with offices located in Garden City, New York. For Respondent Euro-Atlantic Securities, Inc.

AWARD NASD Regulation. Inc. Office of Dispute Resolution in the Matter of the Arbitration Between Name of Claimant James L. Roberts and 97-00790 Name of Respondent Charles Schwab & Company. Inc. REPRESENTATION OF PARTIES James L. Roberts ("Claimant") appeared pro se. Charles Schwab £ Company, Inc. ("Respondent") was represented by Steven Murphy, Esq.. Charles Schwab & Company, Inc., San Francisco, California. CASEIN EQRMAIIO3 The Sta

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00789 Ronald Cenfeteili, claimant vs. Chatfield Dean & Co. and Bismarck Badilla, respondents. ATTORNEYS: For Claimant appeared Stephen A. Baker, Esq., of the firm Allan & Shipp, P.A., St. Petersburg, FL. For Respondent Chatfield Dean & Co. appeared in-house counsel, Christa D. Taylor, Esq., Greenwood Village, CO. For Respondent Bismarck Badilla appeared L.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward A. Podoba, Claimant v. Salomon Smith Barney, Inc. and James E. McCubbin, Respondents. Case Number: 00-01797 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Edward Podoba, hereinafter referred to as "Claimant", of Houston, Texas, represented himself. Respondents Salomon Smith Barney Inc. and James E. McCubbin, hereinafter collectively referred to as

OCT.17.1998 5=19PM NASD REGULATION FL NO.984 P.Z3 STIPULATED A WARD NASD Regulation, lnc«, Office of Dispute Resolution In die Matter of the Arbitration Between Dean Witter Reynolds, lac. 97-00788 Name of Respondent Thomas P. Gilznartin REPRESENTATION For Claimant: Michael S. Taaffe, Esq., The Law Offices of Abel, Baud, Russell, Collier, Pitchfard & Gordon, Chtd., Sarasota, Florida. Respondent Thomas P. Gilmartin appeared pro se. CASE IN

N.A.S.D. REGULATION AWARD RATIONAL ASSOCIATION OF SECURITIES DEALF.HS RF/iTTTATION. INC, CASE: 97-00787 David P. Archibald, claimant vs. Prudential Securities Inc. and FPS Services, Inc. respondents. ATTORNEYS: Claimant appeared pro se - Henderson, NV For Respondent Prudential Securities, Inc. appeared Steven L. Raimer, Esq. - New York, NY Respondent FPS Services, Inc. is not a NASD member firm and refused to submit to NASD's jurisdiction. DATE FILE

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantf.O Everen Securities, Inc. f/k/a Kemper Securities, Inc. v. Arbitration No. 97-00783 Name of Respondent^ Billy R. Bradford REPRESENTATION For Claimant: Renan L Sugarrnan, Esq., Everen Securities, Inc., Chicago, Illinois. For Respondent: No appearance. CASE INFORMATION Statement of Claim filert- February 14, 1997

AWARD NASD Regulation, Inc. Office of Dbpute Resolution In the Matter of Arbitration Between Prudential Securities, Incorporated, Claimant/Counterrespondent, and No. 97-00782 Vincent Morris, Respondent/Counterclaimant. REPRESENTATION OF PARTIES Claimant, Prudential Securities, Incorporated ("PSI") was represented by David D. Sterling, Esq. of Baker and Botts in Houston, Texas. Respondent, Vincent Morris, ("Morris") was represented by Jane L.