N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jennifer P, Park 97-00416 Name of Respondents Spelrnan & Co., Inc. Alex Lemus REPRESENTATION OF PARTIES For Claimant: G. Mark Brewer, Esq., Brewer & Carlson, LaJolla, California. For Respondents: Jeffrey S. Kob, Esq., Miller Milove & Kob, San Diego, California. CASE INFORMATION Claimant's Statement of

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Michael Saltmarsh Patricia Gallagher v. Arbitration No. 97-00415 Name of Respondent^ Prudential Securities, Inc. Jeffrey James Wetzel REPRESENTATION For Claimants: Paul W. Thomas, Esq., Carlsbad, California For Respondent Prudential Securities: William M. CassarinL, Esq., Prudential Securities, Inc., N

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Charles Sparacino Walter Baumann Eric Weisberg Tammy Weisberg v. Arbitration No. 97-00411 Name of Respondents Capital Management Group, Inc. Stewart Baskin David M. Berkowitz Signal Securities Inc. Thomas Hantges REPRESENTATION OF PARTIES Charles Sparacino, Walter Baumann, Eric Weisberg, and Tammy Weisb

NASD DISPUTE RESOLUTION, INC Jn Tho Mutter Of The ArWlrsrfion Btfweea First Union Securities, Inc., Claimant, v. No.; 00*01754 Mark W. Evan* Respondent, BTIPIILATRB The hearing in tikis matter wai scheduled for July 17 - 19. 2001 . Prior to the hearing, the parlies reached a settlement and havo lUpulatcd to the cntty of this award by the Arbitration Pane) . RBPRRKKNTATION For Claimant: Stephen S. Bwkolcy, Esq. tCano & FUch» f U4,

N,A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS RECITATION. INC. CASE: 97-00405 Chester J. Derek, claimant vs. Meyers Pollack Robbins, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Saginaw, ML For Respondent appeared Louis H. Miron, Esq., Westfield, NJ. DATE FILED: January 24, 1997 CASE SUMMARY: Claimant alleged that respondent purchased shares of Halstead Energy Corp. stock without authorization and refused to reverse

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert Beraja Case No. 97-00392 Name of Respondent Mark Mancino REPRESENTATION For Claimant Robert Beraja ("Beraja"): David Azrin, Esq. and Susana Betancourt, Esq. of the Law Office of David T. Azrin, P.A,, Miami, Florida. For Respondent Mark Mancino ("Mancino"): Delmer C. Gowing, III, Esq. t Delray Bea

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Chicago Partnership Board. Inc. 97-00387 Name of Respondents Gerhard Tool & Die, Inc. Cerhard Haieis REPRESENTATION For Claimant: Chicago Partnership Board. Inc. ("CPB") was represented by Neal C. Zazove. Esq. of Zazove & Associates, P.C., located in Chicago, Illinois. For Respondents; Gerhard Tool & Die, Inc. ("GTD") and G

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Carole Erickson and Rick Erickson Claimants, and No. 97-0385 • Shearson Lehman Brothers, Inc. Smith Barney and Lori Julian Respondents. REPRESENTATION OF PARTIES Claimants, Carole Erickson and Rick Erickson, ("Claimants"), were represented by Alix Coulter Cross, Esquire of Harwell, Howard, Hyne, Gabbert & Manner, P.C. located in Nashville, TN. Respondent, Smith Barn

NASD DISPUTE RESOLUTION AWARD NASD PISPUTERESOLUTION CASE: 02-00146 Sally Hampton, claimant vs. Raike Financial Group, Inc., Robert Drew and William Raike, respondents. ATTORNEYS: For Claimant appeared Robert L. Gonser, Esq., Resolution [..aw Group, P.C., Lafayette, CA. For Respondents Raike Pinancial Group, Inc. and William Raike appeared Ruthann G. Niosi, Esq., New York, NY. Re.spondent Robert Drew did not respond to the Statement of Cla

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Nathan Reznikoff, Under Power of Attorney for Abraham Reznikoff, Individually and as Trustee of the Abraham Reznikoff Living Trust dated October 23, 1993, and as Executor of the Estate of Abraham Reznikoff, Claimant v, L.T. Lawrence & Co., Inc., Michael Ferguson, Lawrence Principato, Todd Roberti, Andrew Basile, Mitchell Halpern, and Joseph Marinelli, Respondents. Case Number: 97-00384