NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant William A. Muller 96-05086 Name of Respondents Island Securities, Inc. Jonathan E.S. Bekhor Frank Duca Shakespeare Newsome John J. Labeck Michael Galterio John Lee REPRESENTATION For Claimant William A. Muller ("Claimant") appeared Steven J. Popkin, Esq., a sole practitioner with offices in Brooklyn, New York. For Respondents Island

NASD REGULAION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joseph M. Leone 96-05085 Name of Respondent Gruntal & Co., Inc. REPRESENTATION For Claimant Joseph M. Leone ("Claimant") appeared Ross B. Intelisano, Esq. and Daniel Katz, of Pressman and Associates, located in New York, New York. For Respondent Gruntal & Co., Inc. ("Respondent") appeared Harry D. Frisch, Esq., in-house counsel, located in New York, New York

NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION > ~ matter of the Arbitration Between Name of Claimant(s) PaineWebber Incorporated Arbitration No. 96-05080 Name of Respondent(s) John C. Frohling REPRESENTATION For Claimant: Kathryn L. Krebs, Esq., PaineWebber Incorporated, Los Angel.es, California : For Respondent: John B.M. Frohling, Esq. ( Frohling, Hudak & McCarthy, P.C., Roseland, New Jersey CASE INFORMATION

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between , Name of Claimant Shlomo Hoory 96-05078 Name of Respondents Joseph Carrino Hampshire Securities Corporation CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 1 L 1996, claimant Shlomo Hoory ("claimant"), who appeared Pro Se, alleged that respondents Joseph Carrino ("Carrino") and

- N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05074 Edward and Esther Muldoon, claimants v. Norfolk Securities Corp. and Nicholas A. Brigand, respondents. ATTORNEYS: Claimants appeared pro se - South Plainfield, NJ For Respondent Nicholas A. Brigand Michael H. Ference, Esq. - New York, NY. Respondent Norfolk Securities Corp. did not appear. DATE FILED: November 14, 1996. CASE SUMMARY: Claima

_!—JUL. 7.1999^1-.:3 lftM - N0.132 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Comprehensive Capital Corporation Nape of Respondent Mkhad Vincent Scillia 96-05073 REPRESENTATION For Claimant Comprehensive Capital Corporation ("Comprehensive"): Howard N. Kahn, Esq. of Kramer, Grten, Zuckerman, Kahn «Sc Greene, P.A., Hollywood, Florida. For Respondent Michael Vincent Scillia ("Sciffia")

REGULATION. T*JC-- OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Davood Khalili Arbitration No. 96-05070 Name of Respondent, (s) E*Trade Securities, Inc. For Claimant: Davood Khaiili, Santa Clara, California > For Respondent: Tamikp Moore, Esq., E*Trade Securities, Inc., Palo Alto, California , ] CASE INFORMATION Statement of Claim filed: November 14, 1996 Claimant's Submission Agreement .s

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Kalman and Sara Fainzylber Name of Respondent Oscar Echman REPRESENTATION Claimants Kalman and Sara Fainzylber ("Claimants") appeared pro se. Respondent Oscar Echman ("Respondent") appeared pro se. CASE INFORMATION Statement of Claim filed on: November 13, 1996. Claimants'Submission Agreement signed on: November 25, 19%. ia;rnrj Statement of Answer filed by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Soraya Namay and Names of Respondents McDonald Investments, Inc. Rita Mansour, and James Porea Case Number: 01-02226 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Soraya Namay ("Claimant") was represented by Michael Huberman, and Seth Huberman, Esq., Michael Huberman & Associates, La Quinta, California. McDonald Investments,

NASD REGULATION, INC. - AWARD In the Matter of the Arbitration Between Name of Claimant Worldco, LLC Case No. 96-05066 Name of Respondent Hayim Ashen Regensberg REPRESENTATION Claimant Worldco, LLC ("Claimant") was represented by Thomas McCabe, Esq. of the Law Offices of Thomas J. McCabe, New York, NY. Hayim Ashen Regensberg ("Respondent") did not appear. CASE INFORMATION Claimant's Statement of Claim was filed on November 13, 1996.