N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Stuart N. and Arlene I. Hccker 97-00778 Name of Respondents Josephthal Lyon & Ross Inc. Mark Elenowitz Richard Needelman Donald Slowinski. Jr. REPRESENTATION Claimants Stuart N. Heeker and Arlene I. Hecker ("Claimants") were represented by Stuart N. Meeker, Annapolis, MD. Respondents Jos

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00766 Prudential Securities Inc, claimant v. James R. Pezzimenti, respondent. ATTORNEYS: For Claimant appeared Mark J. Happe, Esq. - New York, New York. Respondent applied pro se - Boca Raton, Florida. DATE FILED: February 13, 1997 CASE SUMMARY: Claimant alleged respondent owed monies based upon default in repayment of customer Ackerman promissory note and

N.A.SJX REGULATION, INC. AWARD CASE: 97 - 00765 Murty V.V.S. Madiraju and Malini R. Madiraju, claimants vs. Shoaib Muhammad, McGraw Financial Group, & The Clearing Services of America, respondents. ATTORNEYS: Claimants appeared Pro Se. - Tyler TX. For respondents appeared Jerome Olitt - Stamford, CT. DATE FILED: 2/13/97 CASE SUMMARY: Claimants alleged unauthorized trading. Claim Data Award Data Claim: $9,700.00 Awaid: $9,700.00 Interest: $.0

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. frfC. CASE: 97-00763 Louis Birk, claimant vs. John Klena and Argent Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se - Sumneytown, PA. For Respondents appeared, Kenneth Brill, Compliance Officer, Atlanta, GA. DATE FILED: February 13, 1997. CASE SUMMARY: Claimant alleged misrepresentation, failure to provide prospectus and unauthorized purchase of Pacif

N.\.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00755 William J. Borns, claimant v. Kevin J. Kuhlow and American Savings Bank Financial Svcs., respondents. ATTORNEYS: Claimant appeared pro se - located in Campbell, CA. For Respondents appeared Andrea R. Susnir, Esq. located in Los Angeles, CA. DATE FILED: 2/13/97. CASE SUMMARY: Claimant alleged misrepresentation regarding the return on a zero coupon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Suzanne Raiola, (Claimant) vs. Union Bank of Switzerland, LLC, (Respondent) Case Number: 00-01791 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Suzanne Raiola, hereinafter referred to as "Claimant": Pamela D. Hayes, Esq., a sole practitioner, New York, NY. Respondent, Union Bank of Switzerland, LLC, hereinafter referred to as "Respondent": Robin D. F

N.A.S J>. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00750 Terry L. Hopkins, claimant vs. Investors Associates, Inc., Adam J. Furman and Darren Silverman, respondents. ATTORNEYS: Claimant appeared Pro Se - Suisun, CA. For Respondent Investors Associates, Inc., appeared in-house counsel, Lawrence R. Gelber, Esq., Hackensack, NJ. Respondent Adam J. Furman appeared Pro Se - Fort Lauderdale, FL. Respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00749 Richard Miller Walker and Aneeka Dawn Walker, claimant vs. William George Brunner, David Weeks, Michael McCall and Sterling Foster & Co. Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Houston, TX. For Respondents appeared Gregory M. Curley, Esq., of Joseph D'Elia Law Offices, Huntington, NY. DATE FILED: February 12, 1997 CASE SUMMARY: Cl

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00748 Cynthia Wadkinson, claimant v. Winchester Investment Securities, First Securities USA and James E. Edwards, respondents. ATTORNEYS: Claimant appeared pro se - Winston-Salem, NC. For Respondent Winchester Investment Securities appeared Alan B. Mille, Esq. - Overland Park, KS. For Respondent First Securities USA appeared Christen McNamara, Esq. - Menlo

SEP. 3.1998 1< :Z1«1 W5D REGULATION FL HO." 4 P.6 NASD REGULATION, INC. AWARD Office of Dispute In the Matter of the Arbitration Between of Gary Suhajdk Cm No. 97*410746 f Respondents Corporate Securities Group, Lie. Mfltemtium Securities Corp. Marshall Todd Leeds Richard Sitomar Howard Lee Giknan For Claimant: Mark A. Tepper, Esq. Fort Lauderdale, Florida. For Respondents Corporate Securities Group, Inc. ("CSG") and Marshall Todd