Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nira Sharma and Yogendra Sharma, (Claimants) vs. Global Strategies Group, Inc. and Eugene Simonetti, (Respondents) vs. First Southwest Company, (Third-Party Respondent) Case Number: 98-01642 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Nira Sharma ("N. Sharma") and Yogendra Sharma ("Y. Sharma"), hereinafter collectively referred to as "Claimants", appeared p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter of the Arbitration Between Name of Claimantfs) Prakash Bhargava 94-05529 Name of Respondentfs) Josephthal Lyon & Ross Inc. Anil Batra The Claimant, Prakash Bhargava ("Claimant"), appeared Pro Se. For Respondents Josephthal Lyon & Ross, Inc. ("Josephthal") and Anil Batra ("Batra"), collectively ("respondents"), appeared Robert E. Murphy, Esq., Deputy General Counsel for

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paulette and Eug«ie Eichenholtz vs. Name of Respondents Smith Bamey Shearson, Inc. Jacob Cytto CaseNo. 94^3440 REPRESENTATTON For Claimants, Paulette and Eugene Eichenholtz ("Gaunants") appeared Gerald E. Marcus, Esq. located in Hamden, Connecticut. For Respondents Smith Bamey Shearson, Inc. ("Smith Bamey") and Jacob Cytto ("Cytto") app

N.A.S.D. REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant George D. Findlay 94-03958 Name of Respondents Westmoreland Capital Coiporation Joseph M. Jayson Judith P. Jayson REPRESENTATION For Gaimam George D. Findlay ("Claimam") appeared Alan J. Bozer, Esq. of the law firm of Albrecht, Maguire, Heffem & Gregg, P.C. located in Buffalo, New York. For Respondents Westmoreland Capital Corporation, Joseph M. Jayson an

N.A.S.D. AWARD NA'ilONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter of the Arbitration Between Name of Claimant Terry Rosen 94-04379 Name of Respondent Asensio & Company, Inc. SEE8ESEE££A22QIS Gaunant Terry Rosen appeared Pro Se. For Respondent Asensio & Co., Inc. ("Asensui") qipeared Setii Wemstein, Esq. CASE INFORMATION The Statement of Gaim was filed on October 21,1994. Gumant's Submisskm Agreement was signed on October 17,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation v. Georg R. Jackson Case Number: 99-3944 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Olde Discount Corporation ("Olde"), hereinafter referred to as "Claimant": Claim filed by Aaron L. Kleid, Esq., Olde Discount Corporation, Detroit, Michigan. This matter was transferred to Robert Visconti, Collections Department - Olde Discount Corpora

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Company, Inc., Claimant v. Teresa Lee and Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents. Case Number: 00-01192 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Teresa Lee: For Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc.: Joseph E. Floren, Esq. Steefel, Levitt & Weiss San Francisc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul S. Sandhaus 94-03354 Name of Resoondentfs) Charles Schwab & Company, Inc. REPRESENTATION For Claimant Paul S. Sandhaus ("Sandhaus") appeared David Mair of Rubin, Kalnick, Bailin, Ortoli, Abady & Fry, P.C. For Respondent Charles Schwab & Company, Inc., ("Charles Schwab") appeared Daniel J. Brooks, Esq., of Layton Brooks & Hecht. Stateme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Katherine Phillips Case Number 94-02500 PaineWebber, Inc. Thomas F. Pierce For Claimant Katiierine Phillips ("claimant") appeared Alan R. Freedman, Esq., Albany, New York. For Respondents PameWebber, Inc. ("PaineWebber") and Thomas F. Pierce ("Pierce") appeared Gregory S. Mertz, Esq., Law Offices of Gregory S. Mertz, Burlington, Vermont. The St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shyama Shukla and RC Enterprises III Inc., (Claimants) vs. Prudential Securities Incorporated, (Respondent) Case Number: 01-06354 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Shyama Shukla ("Shukla") and RC Enterprises III Inc. ("RCE"), hereinafter collectively referred to as "Claimants": William C. Rand, Esq., Law Office of William Coudert Rand, New York