AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Mark R. Dukas and Richard H. Dukas v. Arbitration No. 97-00358 Name of Respondent^ Davies T. Wu, Pacific Coast Independent Brokerage, Inc., and Roy P. Lutzi Representation For Claimant: Pro se, Piedmont, CA For Respondent: Davies Wu and Pacific Coast Independent Brokerage, Inc., (PCI) pro se, San Francisco, CA Fo

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the mallei of the Arbitration Between Name of Claimant Young Kim Name of Respondent Tradeway Securities Group Inc. Arbitration No. 97-00357 REPRESENTATION For Claimant: For Respondent Tradeway Securities Group. Inc. Young Kim In Pro*Per Hcrmosa Beach. California tine John Witmeycr. Esq. Law Office of Eric John Wilmeycr Los Armeies. California CASE IN

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between RupjnderGill v, 97-00356 Pacific Brokerage Services, Inc. For Claimant; Steven A. BuchwaUer, Esq., Lav/ Offices of Steven A. Buchwfrlter, Eacino, California. For Respondent: James R, Kruger, Pacific Brokerage Services, Inc., Beverly Hills, California. Statement of CUira filed: January 20, 1 997. Claimant Subrais&ion Agreement signed on: January 13, 1997. Staiement of An

MftY.26.1998 3:39Ph NflSD REGULATION FL MO.ggg p>n N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Mattes 1 of the Arbitration Between PaineWebber Incorporated NASD CASE NO. 97-00352 For Claimant' Sandra IX Cfeanoum, Esq. Corporate Vice President / Associate General Counsel of PaineWebber Incorporated, Respondent Jonathan Bieder did not mate an appearance in tfcis matter. Statement of Claim filed on January 22, 1

JUN.29.1998 9:$7fiM HfiSD REGULATION INC NO.163 P.2 NA.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arleae and Peter Lefcourt 97-00349 Name of Respondents Empire Financial Group Inc. Steven Sambtis REPRESENTATION For Claimants: Philip J. Snyderbum, Esq. of Soyderbuni, Rlshoi & Swann, P.A., Wiotex Park, Florida, For Respondents: Dekaer C, Gowing, III, Esq. of Delm

NASD REGULATION. INC- In the matter of the Arbitration Between Name of Claimant (al Cruttenden Roth, Inc. Arbitration No. 97-00339 Name of Respondentfs) David Bahr and Judith Cage, aka Judith Bahr REPjRESENTATIQMT For Claimant: John R. Loftus, Esq., Keesal, Young & Logan, Long Beach, California For Respondent David Bahr: David Bahr, Laguna Niguel, California For Respondent Judith Cage: Judith Cage, Lake Oswego, Oregon CASE INFORM

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE; 00-01740 James W. Mendelsohn, Custodian for James Oliver Mendelsohn (U/NY/UGTMA), Claimant vs. James D. Zahringer, Stephen P. Collins, Walter Piecyk and William Choi, Respondents. ATTORNEYS: Claimant, James W. Mendelsohn, Custodian for James Oliver Mendelsohn (U/NY/UGTMA) ("Claimant"), appeared Pro Se., Scarborough, NY. For Respondents, James D. Zahringer, Stephen P. Collins, Walter Piecy

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00327 Farhat K. Qureshi, claimant vs. Craig Marino and First Liberty Investment Group, respondents. ATTORNEYS: Claimant appeared Pro Se, Hicksville, NY. For respondents appeared Chintu Dalvi, Compliance Officer/First Liberty Investment Group, New York, NY. DATE FILED: January 21, 1997. CASE SUMMARY: Claimant alleged that respondents sold her Rawling Sporti

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Warren J. Bates, Claimant, and No. 97-00325 State Capital Markets Corp., Respondent. REPRENTION OP Claimant, Warren J, Bates, was represented pro se. Respondent, State Capital Markets Corp., was not represented in pleadings or at the hearing. CASE INFORMATION Warren J. Bates' Statement of Claim was filed on or about January 21, 1997. Warren

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Ronnie!.. Roller. Claimant, and No. 97-00324 First American National Bank. John R. Coles, and AmeriSlar Capital Markets. Inc., Respondents. REPRESENTATION OF PARTIES Claimant. Ronnie L Roller, was represented by W. Allen Barrett, Hsquire of Nashville, Tennessee. Respondents, First American National Bank (/'First American,") John R. Coles, and Am