NASD REGULATION FINAL ORDhR In the Matter of the Arbitration Between Name i>f j^lainjant Volpe Brown Whelan & Company. U.C. 97-M284 Name of Respondent John H. Plunkett d/h/a Trident Holdings REPRESENTATION For claimant Volpe Brown Who Ian & Company. Ll.C ("claimant") appeared H. David Mishel. Esq. of the law offices "Miden Marvin Johnson & Bridges UP located in San Francisco. California, For respondent John if. Plunkeu d'b/a Trident Holdings

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Constance Gibbs v. Arbitration No. 97-00283 Name of Respondent Roger Engemann & Associates, Inc., Pasadena Capital Corporation, Paul Lecompte, Malcolm Axon, Pasadena Fund Services Inc., and Roger Engemann REPRESENTATION For Claimant: Neil J. Barker, Esq. Law Offices of Neil I. Barker Pasadena, California For

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Hugh W. and Colleen McLane Names of Respondents 97-00278 D.L. Cromwell Investments, Inc. Paul Tahan REPRESENTATION OF PARTIES For Claimants: Dennis A. Nowak, Esq. of the law firm of Tew & Nowak, Miami, FL. For Respondents D.L Cromwell Investments. Inc. ("Cromwell") and Paul Tahan (Tahan"): Gary A. Chernay, Esq. of the law firm

L NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Lucille S. McMillen -—" The McMillen Family Trust 97-00274 Name of Respondents Steven M. Bolla Security Financial, Inc. REPRESENTATION Claimant Lucille S. McMillen, individually and as surviving Trustee of the McMillen Family Trust ("Claimants") were represented by Robert W. Goehring, Esq., Pittsburgh, PA. Re

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants George Gordon and Bernicc Gordon 97-00268 Name of Respondent First Metropolitan Securities, Inc. REPRESENTATION For Claimants: George Gordon and Bernice Gordon ("Gordon") were represented by Alan O. Amos, Esq., of Alan O. Amos & Associates, P.C, located in Chicago, Illinois. For Respondent: First Metropolitan Securities, Inc.

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Danielson Trust Company, Trustee FBO Scripps Clinic Medical Group FBO Gary Williams v. Name of Respondent(s) La Jolla Capital Corporation Hans Roes Arbitration No. 97-00267 For Claimant: For Respondent: REPRESENTATION Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California

NASD REGULATION, INC. AWARD [n the Matter of the Arbitration Between Name of Claimant Judith Rhea Cox 97-00263 Name of Respondents Dean Witter Reynolds Inc. W. Bruce Schaefer REPRESENTATION For Claimant Judith Rhea Cox ("Claimant") appeared F. Robert Slotkin, Esq., of the law Firm Wilson, Strickland & Benson, PC, located in Atlanta, Georgia. For Respondents Dean Witter Reynolds, Inc. ("DWR") and W. Bruce Schaefer ("Schaefer")(collectively

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimant Barbara Warren a/k/a Barbara Warren Cronin vs. Case No. 97-00260 Name of Respondents Smith Barney Inc. and David R. Shapiro REPRESENTATION For Claimant Barbara Warren ("Claimant") appeared Deidre S. Venables, Esq., a sole practitioner located in Southampton, New York. For Respondents Smith Barney Inc. ("Smith Barney") and David R. Shapiro ("Shapiro")

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant George G. Geliert 97-00257 Name of Respondent John Martello REPRESENTATION For Claimant George G. Geliert ("Claimant") appeared Larry N. Stopol, Esq. of Levy & Stopol. LLP located in New York, New York. Respondent John Martello ("Martello") did not appear. CASE INFORMATION The Statement of Claim was filed on February 4, 1997. Claimant's Submission Agreeme

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. CASE: 97-00250 Damon F. Hewlette, claimant vs. Toluca Pacific Securites, Inc. and Paul Fiorini, respondents. ATTORNEYS: Claimant appeared Pro Se, Deer Park, NY. Prior to the decision on the merits, the claim against Respondent Toluca Pacific Securities, Inc. was stayed under Chapter 7 of the Bankruptcy Code. Respondent Paul Fiorini did not respond to the Statement of Claim.