NASD Regulation, Inc., Award In the Matter of Arbitration Between Jane M. Thomas, Claimant, and No. 97-00322 Bear Stearns & Company, Inc., Respondent. REPRESENTATION OF PARTIES Claimant, Jane M. Thomas ("Thomas") was represented by G. William Baab, Esquire of Baab & Denison, L.L.P., located in Dallas, Texas. Respondent, Bear Steams & Company, Inc. ("Bear Stearns") was represented by Cheryl Jerome Moore, Esquire of Arter & Hadden, located in

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Nancy S. Bell Case No. vs. 97-00320 Name of Respondents Advantage Capital Robert Fertel REPRESENTATION For Claimant, Nancy S. Bell ("Claimant"), Albert A. Rapoport, Esq. located in Boca Raton, Florida. For Respondents Advantage Capital Corporation ("Advantage") and Robert Fertel ("Perte!") (collectively "Respondents"), Michael J. McNeil, Esq. fr

N-A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00319 Tim and Nancy Peerson, claimants v. Wexford Clearing Services Corporation, respondent. ATTORNEYS: Claimants appeared pro se - Whiting, IN. For Respondent William H. Freilich - New York, NY. DATE FILED: 1/21/97 CASE SUMMARY: Claimants alleged delay in execution of trade resulting in loss. Claim Data Award Data Claim: $3,500.00 Award: $.00 Puni

I.--», -) t *-? AWARD NASD REGULATION INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Razmik Bagumyan v. Arbitration No. 97-00316 Name of Respondents E*Trade Securities, Inc. Kevin Cohen REPRESENTATION For Claimant: Sonia S. Amin. Esq. Attorney at Law Reseda. California For Respondent: Thomas V. Reichert Bird, Marella. Boxer, Wolpert & Matz Los Angeles. California CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Arluck NASD CASE No. 97-00305 Name of Respondent Alan J. Login REPRESENTATION The Claimant appeared pro se. The Respondent appeared pro se. CASE INFORMATION Statement of Claim filed: January 21, 1997. Claimant's Submission Agreement signed: January 14, 1997. Statement of Answer filed by Respondent on: March

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Laszlo Kugli and Gyorgy Kugli, Claimants v. Dean Witter Reynolds, Inc., Paul Gomez, and Richard Bryant, Respondents; Dean Witter Reynolds, Inc., Paul Gomez, and Richard Bryant, Third-Party Claimants v. Julius Sabo (a/k/a Julius Szabo), Third-Party Respondent Case Number: 97-00304 Hearing Site: Los Angeles, CA REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Law Of

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Otto Mileti. Claimant vs. Investors Associates. Inc.. Michael Zoccoli. Anthony Tricarico and Herman Epstein, Respondents. Case Number: 97-00301 Hearina Site: Salt Lake Citv. Ut:»h REPRESENTATION OF PARTIES Claimant, Otto Mileti ("Mileti"). hereinafter referred to as "Claimant": Jacquelynn D. Carmichael, Esq., Bugden, Collins & Morton. L.C.. Salt Lake City, Utah Respondent, Investo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Para Number: 00-01738 Binary Traders, Inc. Names; of the Respondents Hearing Site: Philadelphia, Pennsylvania Peter Fineberg, Nicholas G. DiCicco, Dominic V. DiCicco, Seth H. Diamond, Lewco Securities Corp., D and D Securities, Bearcat Inc., Salvatore DiAmbrosio, and Schroder Securities Corporation RF.PRPSFNTATTON OF PARTTFS Claimant Binary Trade

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00290 J.W. Charles Securities Inc, claimant v, Robert Diamond, respondent. ATTORNEYS; For Claimant For claimant appeared Gregory Tendrich, Esq. - Boca Raton, FL. Respondent appeared pro se - Boca Raton, FL DATE FILED: 1/20/97 CASE SUMMARY: Claimant alleged respondent defaulted under Promissory Note. Claim Data Award Data Claim: $5,297.47 Award: $5,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert L. Anderstrom and 97-00288 Name of Respondent Euro-Atlantic Securities, Inc. Nicholas Mormando REPRESENTATION OF PARTIES Robert L. Anderstrom ("Claimant") appeared pro se. « Euro-Atlantic Securities, Inc. ("Respondent Euro-Atlantic") did not appear at the hearing. Nicholas Mormando ("Respondent Mormando") did not