AWARD NASD Regulation. Inc. CASE: 98-04190 Salvatore F. Rubano, claimant vs. Capital Planning Associates, Inc. and Jonathan M. Durinda, respondents. ATTORNEYS: Claimant appeared Pro Se. Pembroke Pines, FL. Respondent Capital Planning Associates did not respond to the Statement of Claim. For respondent Jonathan M. Durinda, appeared Shelley Chaben, Esq., of the firm. Kogan & Taubman, L.L.C. New York. NY. DATE FILED: November 6. 1998 CASE SUMMA

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Robert S. Fagan V. Name of Respondent Equity Programs Corporation Arbitration No. 98-04185 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Joel M. Pressman, Esq. Kolodny & Pressman San Diego, Califomia Jeffrey L. Gaffney, Esq. Law Offices of Jeffrey L. Gafftiey San Diego, Califomia CASE INFORMATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04177 William P. Slusarz. claimant vs. West America Securities Corp.. Brian J. Hermenze, and Correspondent Services Coxp.. respondents. ATTORNEYS: Claimant William P- Slusarz ("Claimant"), appeared Pro Sc, Livetpool, New York. For respondent West America Securities Corp. ("WASC"), Talin Kalfayan, Esq., Fields, Fehn & Sberwin. LDS Angeles. California. For r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants George M. Leder vs. Case No. 98-04174 Name of Respondents Jesse A. Bromberg Barington Capital Group, L.P. John D. Telfer James Mitarotonda REPRESENTATION OF PARTIES Claimant, George M. Leder (Claimant) was represented by Brian M. Greenman, Esq., New York, NY. Respondents, Jesse A. Bromberg (Bromberg), Barington Capital Group, L.P., (Bar

AWARD NASD REGULATION, INC. IQ the matter of the Arbitcation Between Name of Claimant Rudolph A. MagUn V. Name of Respondents Cmttenden Rodi, Iac., and Adrian Valenzuela, Jr. Arbitration No. 98-< H173 REPRESENTATION For Qaimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas Carlsbad, California For Respondents: Kimberly Wong, Esq. Keesal, Young, & Logan, P.C. Long Beach, California CASE INFORMATION Statement o

AWARD NASD Regulation, Inc. CASE: 98-04172 Ilya I. Novof, claimant vs. D.H. Blair & Co. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Essex Junction, VT. For Respondent D.H. Blair & Co. Inc., appeared Harvey D. Frisch, Esq., Ossining, NY. DATE FILED: November 5, 1998 CASE SUMMARY: Claimant alleged that respondent convinced him to open an account and purchase Conversion Technologies stock. Claimant further alleged that respondent refused to

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Chatfield Dean & Co., Inc., (Claimant) vs. Bryan Patrick Higgins, (Respondent) Case Number: 98-04171 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Chatfield Dean & Co., Inc., hereinafter referred to as "Claimant": Christa D. Taylor, Esq., Vice President/Compliance, Chatfield Dean & Co., Inc., Greenwood Village, Colorado. Respondent Bryan Patrick Higgins, hereinaf

AWARD NASD Regulation, Inc. CASE: 98-04168 Geraldine La Perchia, claimant vs. First Union Brokerage Services and Joseph Rudovic, respondents. ATTORNEYS: For claimant, Geraldine La Perchia, appeared Daniel Geoghan and Olga B. Jobe, Legal Interns of the firm, Lincoln Square Legal Services, Inc., New York, NY For Respondents, First Union Brokerage Services and Joseph Rudovic, appeared in-house counsel, Barbara H. Wright, Esq. Charlotte, NC DATE FIL

Stipulated Award i.-v^D Dispute Resolution, Inc. In the Matter of the .Arbitration Between Name of Claimant Mary S. Longanecker Case No. 98-04163 Name of Respondents Guy N. Korman, Jr. Securities America, Inc. REPRESENT.ATION OF PARTIES Claimant, Mary Longanecker ("Longanecker"), hereinafter referred to as "Claimant*": Edward Seglias, Esquire, Cohen, Seglias, Passas & Greenhall, P.C, Philadelphia, P.A. Respondents, Guy Korman ("Korman")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terrence N. Latham, Claimant v. S. D. Cohn & Co., Inc., Roger Kapsalis, and Schroder Wertheim & Co., Inc., (a. k. a. Schroder & Co., Inc.), Respondents Case Number: 98-04162 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: Terrence N. Latham In Pro Per San Juan Capistrano, Califomia CASE INFORMATION Statement of Claim filed: November 5,1998