NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Steven A. Goodman 96-05303 Name of Respondents Fahnestock & Co., Inc. Donald Will Mercurio REPRESENTATION For Claimant Steven A. Goodman ("Claimant") appeared Lloyd S. Clareman, Esq., a sole practitioner with offices located in New York, New York. For Respondents Fahnestock & Co., Inc. ("Fahnestock") and Donald Will Mercurio ("Mercurio"), collective

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Troy Caruso Names of the Respondents: Shawn Cantor Robert Winston David Jacaruso John Telfer Montrose Capital Management, Ltd. Case Number: 01 -02240 Hearing Site: New York, New York: REPRESENTATION OF PARTIES Claimant Troy Caruso, hereinafter referred to as "Claimant": Stanley S. Zinner, Esq., Greene & Zinner, P.C., White Plains, NY

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05302 Michael Messina, claimant v. Robert Madrid and Luis Loza, respondents. ATTORNEYS: For Claimant appeared Sheldon Cohen, Chicago, IL. For Respondent Robert Madrid appeared Luis Loza. Respondent Luis Loza appeared pro se. DATE FILED: 11/27/96. CASE SUMMARY: Claimant alleged unauthorized trading of stock. Claim Data Award Data Claim: $5,600.00 „;,

JUL.28.199S REGULATION FL NO.231 P.15 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between rf Claimant Metropolitan Life Insurance Company John Carlton Moorcroft Case No. 96-05301 REPRESENTATION OF PARTIES For Claimant: H. Mark Vieth, Esq. of the law firm of Tilghman & Vieth, P.A., Miami, Florida, For Respondent Metropolitan Life Insurance Company ("MetUfe"): Marilyn J. Holifieid, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph and Eleanor Krassow NASD CASE NO. 96-05297 Name of Respondents JW Charles Securities, Inc. and Paul Allmann REPRESENTATION For Claimants: Jerome A. Pivnik, Esq. of Pivnik & Nitsche, P.A., Miami, Florida. For Respondents JW Charles Securities; Inc. ("JW Oiarles") and Paul Allmarm ( M Mlmann w ): Gregdty

NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(si Janet Yip Arbitration No. 96-05294 Name of Respondent(s) Smith Barney Shearson Inc. Philip W. Holmes REPRESENTATION For Claimant: Robert W. Rychlik, Esq., Cupertino, California For Respondents: Sean J. Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: November 26, 1996

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Jack Aronowitz v. Arbitration No. 96-05293 Name of Respondents Gilford Securities, Inc., Martin Rabovich, and Stephen DeGroat REPRESENTATION For Claimant: Michael A. Lotman, Esqi 1 - > " : Law Office of Michael A. Lotman Los Angeles, California For Respondents: Joel Levinson, Esq. ; r - ^ : ^

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Voula and Constantine Salonitis Case No. vs. 96-05292 Name of Respondents State Street Capital Markets, Inc. George Christodoulou REPRESENTATION For Claimants Voula and Constantine Salonitis ("Claimants") appeared Raymond A. Connell, Esq., of the law offices of McMahon & Connell, PC, located in New York, New York. For Respondent State Street Capita

AWARD NASD REGULATION. INC.. DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Minnie Joyce Napier Award #96-05291 vs. Name nf Respondent Olde Discount Corporation REPRESENTATION For Claimant: Gary J.Lekas, Esq., Portland, Oregon ' . ^ ; For Respondent: Amy, Richards, Esq., Olde Discount Corporation, Detroit, Michigan CASE INFORMATION Statement of Claim filed: November 27, 1996 Amended Claim

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Clifford Lamm Arthur Lamm 96-05274 Name of Respondents Jameson, Dewitt and Associates, Inc. REPRESENTATION For Claimants Clifford and Arthur Lamm ("Claimants") appeared Patrick W. Begos, Esq., of the law office of Molton and Meekins, located in New York, New York. For Respondent Jameson, Dewitt, and Associates, Inc. ("Respondent") appeared Stewart Barnes,