N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04350 Heidi E. Christensen, claimant v. Montgomery Securities, respondent. ATTORNEYS: For claimant appeared Julian R. Birnbaum, Esq. - New York, NY. For respondent appeared Steven L. Friedlander, Esq. San Francisco, CA. DATE FILED 9/4/97 CASE SUMMARY: Claimant alleged that respondent filed U-5s with errors, and that the respondent does not dispute this and

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of C1ainiantfs> David Cray, Robert C. Lewis, and Catherine B. Hovis 94-02956 Name of Resoondentf s) NationsBanc Securities, Inc. n/k/a NationsBanc Discount Brokerage Inc., NationsSecurities, Nationsbanc Enterprise, Inc., Dean Witter Venture, Inc., and NationsBank of North Carolina, N. A. For Claimants David Cray ("Cray"), Robert C.

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 03-01294 UBS PaineWebber, Inc., Claimant/counterclaim respondent vs. J. Randall Roper, Respondent/counterclaim claimant. ATTORNEYS: For Claimant/counterclaim respondent, UBS PaineWebber Inc. appeared Lisa A. Catalano, Esq., of the law offices of Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent/counterclaim claimant, J. Randall Roper appeared pro se, Germantown, TN. DATE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant W.H. Newbold'sSon&Co., Division of Fahnestock & Co., Inc. 95-02779 Name of Respondent Francis W. Giampa REPRESENTATION Claimant W.H. Newbold's Son & Co., Division of Fahnestock & Co., Inc. ("Claimant") was represented by Eric J. Shames, General Counsel, W.H. Newbold's Son& Co., Division of Fahnestock & Co.

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimants First Nevada Fund, Inc. George B. Heidelman and 94-04407 Name of Respondents Smith Barney, Inc. Richard Hammond REPRESENTATION OF PARTIES First Nevada Fund, Inc. and George B. Heidelman ("Claimants") were represented by James M. Moore, Esq., Lindhorst & Dreidame, Cincinnati, Ohio. Smith Barney, Inc. ("Respondent Smith Barney") and Richard Hammond ("Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Name of Claimant {51 Jeremiah Cantor and B.X. Barter Services 90-00318 Name of Respondentfs) Leonard Tucker Claimants alleged that Respondent failed to pay monies due and owing on loans made arising out of a public offering of B.X. Barter stock for which Respondent's firm was to act as underwriter. In addition, Claimants alleged that Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs| Jones Cassidy 90-00150 Profile Investments Corporation Brian J. Grant In a claim filed with the National Association of Securities Dealers , Inc. ("NASD") on or about January 15, 1990, Claimant Janes J. Cassidy ("Cassidy") alleged that he rolled over his IKA account from his former, employer in the amount of $24,084.02. Cass

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Albert Toovy, Claimant v. Cruttenden Roth Incorporated and Everett R. Ellerman, Respondents Case Number: 99-03561 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates, Inc. Los Angeles, California For Respondents: Paul I. Hamada, Esq. Keesal, Young & Logan Long Beach, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Michael S. Goldman ) ) Case #89-03274 ) Sheldon Kraft ) Brooks, Weinger, Robbins & Leeds, Inc. ) Greentree Securities Corporation ) CASE SUMMARY Claimant, Michael S. Goldman (hereinafter "Claiireni '), .alleged that Jv-- placed an order to sell all the penny stocks in hi.* portfolio held at Respondent Brooks, Weinger, Rohbins & Leeds

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Mingxin Qian 94-05404 Name of Respondents Suppes Securities, Inc. Sheng Ping Feng REPRESENTATION Claimant Mingxin Qian ("Claimant") appeared pro se. Respondent Suppes Securities, Inc. ("Suppes") was represented by Amal Aly, Esq., Tenzer Greenblatt, New York, NY. Respondent Sheng Ping Feng ("Feng")