Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nicholas Thomopoulos and Plato General Construction Corp., (Claimants) vs. Gold Country Securities, Michael Frangopoulos, and Christos Makos, (Respondents) Case Number: 98-04932 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Nicholas Thomopoulos ("Thomopoulos") and Plato General Construction Corp. ("Plato"), hereinafter collectively referred to as "Claim

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITffiS DEALERS REGULATION. INC. CASE: 98-04928 William J. Sherry, claimant vs. John Durinda and Capital Planning Association, Inc., respondents. ATTORNEYS: For Claimant William J. Sherry ("Claimant"), Michael D. Silver, Esq., UAW Legal Services Plan, Brooklyn Heights, Ohio. For Respondent John Durinda ("Durinda"), Shelly Chaben, Esq., Kogan & Taubam, L.L.C, New York, New York Respondent Capi

Award NASD Regulation, Inc. In the Matter of the Arbitration Behveen: A.G. Edwards & Sons, Inc., Claimant v. John Caime and Pasquale Caime, Respondents. Case Number: 98-04924 Hearing Site: Kansas City, Missouri Consolidated with Maria Persell, John Caime and Pasquale Caime, Claimants v. A.G. Edwards & Sons, Inc. and Joseph Anthony Nastasi, Respondents. Case Number: 99-01160 Hearing Site: Kansas City, Missouri REPRESENTATION OF PARTIES Maria

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Raymond James & Associates, Inc. (Claimant) v. William David Wooldridge, Jr. (Respondent). Case Number: 98-04921 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Deborah J. Howard, Esq., Raymond James & Associates, Inc., St. Petersburgh, Florida. Respondent, William David Wooldridge, herei

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: A.G. Edwards & Sons. Inc.. Russell S. Bishop QI, and John Lee, Claimants v. Robin Valentine- Kindred, Respondent Counterclaim: Robin Valentine-Kindred. Counter-Claimant v. A.G. Edwards & Sons, Inc., Russell S. Bishop m, and John Lee, Counter-Respondents Case Number: 98-04914 Hearing Site: Reno, Nevada REPRESENTATION OF PARTIES ForClaimanis. Daryl S. Landy, Esq. Ste

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04911 William R. Hough & Co., Inc., claimant vs. Calvin E. Sutton, respondent. ATTORNEYS: For Claimant William R. Hough & Co., Inc. appeared Vice President and General Counsel, Bormie M. Germain, Esq., St. Petersburg, Florida. Respondent Calvin E. Sutton did not respond to the Statement of Claim. DATE FILED: 12/23/1998 CASE SUMMARY: Claimant maintained tha

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John F. Policastro, Glenda Policastro. Dr. Robert F. Collins, and Sheila J. Collins, Claimants v. Nelson B. Trichler, and Titan Value Equities Group, Inc., Respondents Case Number: 98-04907 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants John F. Policastro, Glenda Policastro, Dr. Robert F. Collins, and Sheila J. Collins: For Respondents Titan

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dain Rauscher Incorporated, (Claimant) vs. Ross Hyde, (Respondent). Case Number: 98-04903 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Dain Rauscher Incorporated ("Claimant"): Will S. Montgomery Esq. and Ellen B. Sessions, Esq., Jenkins & Gilchrist, Dallas, Texas. Respondent, Ross Hyde ("Respondent"): Thomas G. Farrier, Esq., Murphy Mahon Keffler & Farrier, L.L.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald Likas and Sally Likas v. Everen Securities, Inc., Thomas McGivem and Michael Michelson Case Number: 98-4901 Hearinq Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant, Ronald Likas and Sally Likas, hereinafter collectively referred to as "Claimants": Thaddeus S. Gauza, Esq., Chicago, Illinois. Respondents, Everen Securities, Inc., f/k/a First Union Securities, Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaineWebber Incorporated, (Claimant) vs. Klim Bababekov and Ruben Bababekov, (Respondents) Case Number: 99-03808 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant PaineWebber Incorporated, hereinafter referred to as "Claimant": Vincent J. Oliva, Esq., Associate General Counsel, PaineWebber Incorporated, Weehawken, NJ. Respondents Klim Bababekov and Ruben