Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Laidlaw Global Securities, Inc. (Claimant) vs. Jeffrey W. Isles (Respondent) Case Number: 99-03513 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Laidlaw Global Securities, Inc., hereinafter referred to as "Claimant": Thomas J. Hanrahan, Esq., a sole practitioner, Glen Rock, NJ. Respondent, Jeffrey W. Isles, hereinafter referred to as "Respondent", did not appear

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susann E. Rostler Claimant vs. Shearson Lehman Hutton, Inc. Prudential-Bache Securities, Inc. Morris S. Rosen Randolph S. Julian Rudy Chavel Respondent ) AWARD ) ) NASD NO. 90-02974 REPRESENTATION Claimant was unrepresented at hearing. Respondents Shearson Lehman Hutton, Inc. and Morris Rosen were represented by E. Scott Douglas,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Financial Network Investment ) Corporation ) Claimant ) ) ADDENDUM AWARD vs. } ) NASD #90-02372 Manuel Valle ) Respondent ) , ) REPRESENTATION Claimant was represented by Jack R. Handy, Esq. Respondent did not appear at hearing and was not represented. SUMMARY OF ISSUES Claimant alleged Respondent failed to deliver marketable

H.A.S.D. N/KBD NRIICNAL ASSOCDHTCIT OF SECDRITnS DEALERS In the Matter of the Arbitration Between Robert H. and Rita R. Tfrrtng 90-02273 of Hibbard BJXMI & Co. i Tnc. , Paulson ItrvesLmeut OODpany, Inc., and GLeca A. Pahake f Rdbect and Rita Hfrrtog ware represented by Prank Lawia, BKJ. of Lauyennan, Began, Lewis and Marks of Phoenix, Arizona. , Hltbard Browi & Oo., Inc. VMM repreaapted by A. bmaw Esq. of Bremen, Raaldn, Friedlcb & T

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lillian Duncan Dean Witter Reynolds, Inc. Sam Galliano ) Case No. 90-01658 For Claijtant Lillian IXmcan ("Duncan" )i pro se. For Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and Saw Guiliano. ("Galliano"): Stanley Padgett, Esq. of Trenam, Solutions, Ranker, et al. Statement of Claim filed on June 11, 1990. Claimant's Submission Ag

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barry M. Mott Claimant(s) vs. Ken Ashe Respondent(s) NOTICE OF ARBITRATION AWARD 90-01373 CASE SUMMARY Claimant(s) Barry M. Mott alleged that Respondent(s) Ken Ashe failed to transfer certain securities in Claimant's account to Claimant's new account with Dean Witter Reynolds, Inc. Respondent(s) maintain that the reason the subject securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Majtter of the Arbitration Between Thomas Bassman Claimant(s) vs. 90-01027 Irv Simon Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Thomas Bassman alleged that Respondent (s) Irv Simon did not pay him profits realized on a sale of stock. Respondent did not respond. (Respondent Sandhurst Securities, Inc. was removed because of bankruptcy. RELIEF REQUEST

KA.S.D. AWARD NATIONAL ASSOCIATION OP SBCWniBS DEALERS In tlje Matter of die Aitftndoa Richard SookLn 95-00772 David A. Blech D. Btecb&Co.Jnc. For Claimant appeared Mitchell K. AirooJ E»q. of Krcinik & Aaron, New York. New York. For Respondents appeared L. Via Stillnuui, Esq. of Boca Raton, Florida. The Statement of Claim was riled oa Febnwy 13, J995. Claimant's Submission Agreement was signed oa February 13, 1995. The Statement of Awwer fil

>; A.S.D. A\VARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ihe Matter or the Arottnuton Between Name or Claimants David Bradley Gilbert David Weissbere 92-03854 Name of Respondents Paulson Investment Company Inc. Daniel X. Dunphy John C. Bivona Best Investors Group, Inc. REPRESENTATION For Claimants. David Bradley Gilbert and David Weissberg: Claimants appeared pro-se at the hearing. For Respondent. Paulson Investment Com

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03511 Falene Rose Friedman Trust, claimant vs. Scottsdale Securities, Inc., and Byron Efstratis respondents. ATTORNEYS: For Claimant Falene Rose Freedman Trust ("Claimant"), Joel H. Kaufman, Esq., Law Offices of Joel Kaufman, Farmington Hills, MI. For Respondents Bryon Efstratis ("Efstratis") and Scottsdale Securities, Inc. ("Scottsdale"), (collectively, "