N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Wallace, HI Case No. 93-02422 v. Name of Respondent Advanced Equity Group, Inc. Nathan B. Batalion Rand M. Cohen AE Holding Corp. Alan Tokayer Barry Woloshin REPRESENTATION For Claimant William Wallace, III ("Wallace") appeared Sharon Carlstadt of the law firm Reid & Priest located in New York, N

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jan Sinclair Claimant, v. No. 93-02407 Olde Discount Corporation Respondent. REPRESENTATION OF PARTIES Claimant Jan Sinclair ("Claimant") appeared pro se. Claimant was previously represented by Harry A. Carson, Esq. of Carson & Carson, P.C. located in Detroit, Michigan. Respondent Olde Discount Corporation ("Olde" or "Respondent") was represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aaron W. Ford Case vs. #93-02400 Name of Respondent Dunhill Equities, Inc. REPRESENTATION For Claimant, Aaron W. Ford f/k/a Aaron W. Wertheim ("Claimant"), Peter Harrington, Esq. from the law form of Cosgrove, Eisenberg & Kiley, P.C., located in Quincy, Massachusetts For Respondent, Dunhill Equities, Inc. ("Respondent") Chr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary S. Looney, Claimant, and No. 93-02786 Timothy J. Riley, Shearson Lehman Brothers, Inc., and Kemper Securities, Inc. Respondents. REPRESENTATION OF PARTIES Mary S. Looney ("Claimant") was represented by Ron Kent Hooper, Esq., „ Arizona. Shearson Lehman Brothers, Inc. ("SLB") and Timothy J. Riley ("Riley") were represented by Jeff

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rajeshree A. Patel 93-02778 Name of Respondents Hamilton Investments, Inc. and Anthony Quirini Representation of Parties Claimant, Rajeshree Patel (hereinafter, "Claimant") was represented at the hearing by Alan Block, Esq. of Block & Landsman, Chicago, Illinois. Respondents, Hamilton Investments, Inc. and Anthony Quirini (

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Churchill P. Goree, Claimant, v. Shearson Lehman brothers, Inc., A. G. Edwards & Sons, Inc., Paine Webber, Inc., Rafael Golan, Bruce K. Dorfhian, and Wall Street Trading Group, Ltd., Respondents, and No. 93-02777 A. G. Edwards & Sons, Inc., Counterclaimant, v. Churchill P. Goree, Counterrespondent REPRESENTATIO

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gloria H. Gibson, and Susan T. Poldino, Claimants, v. No. 93-02774 Dean Witter Reynolds, Inc., Respondent REPRESENTATION OF PARTIES Gloria H. Gibson, and Susan T. Poldino ("Claimants") were represented by Michael Salcido, Esq., Scottsdale, Arizona. Dean Witter Reynolds, Inc. ("Respondent") was represented by David P. Restaino, Esq., of De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Carroll, (Claimant) vs. Ladenburg Thalmann & Co. Inc. and Michael Kordieh, (Respondents) Case Number: 01-02617 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Carroll, hereinafter referred to as "Claimant^, appeared pro se Respondent, Ladenburg Thalmann & Co. Inc. ("Ladenburg")-' Peter J. Biging, Esq., Ohrenstein & Brown, LLR Garden City, NY.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. In the matter of the Arbitration Between Name nf Claimants Florence Conway Tim Conwav NASD Arbitration #93-02755 vs. Name of Respondents Chatfieid Dean & Co.. Inc. Kober Financial Corporation The Kober Corporation Stephen Goodman REPRESENTATION For Claimants: Clifford L. Beem, Esq., Beem & Mann, P.C., Denver, Colorado For Respondent Chatfieid Dean & Co.: Christa D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael J. and Anne Smylie 93-02741 Name of Respondents Joseph Ralph Abbruzzi Legg Mason Wood Walker, Incorporated REPRESENTATION For Claimant Michael J, and Anne Smylie ("Claimants"): Michael J. Stack, Jr., Attorney at Law, Philadelphia, PA. For Respondents Joseph Ralph Abbruzzi ("Abbruzzi") and Legg Mason Wood Walker