N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert HassJer 96-04887 Name of Respondents Lawrence D. Jahn Landmark International Equities REPRESENTATION For Claimant: David H, Zimmer, Esq. Greenwich, CT For Respondent Lawrence D. JaJur IraS^Newman, Esq. , v Great Neck, NY Respondent Landmark International Equities did not file an ap

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 96-04884 Name of Respondent Philip R. H. Connor, III Consolidated With In the Matter of Arbitration Between Name of Claimant Prudential Securities, Inc. 96-04886 Name of Respondent Anastasio Carayannis REPRESENTATION For Claimant Prudential Securities, Inc. ("PSI" or "Claimant") appeared Stephen Rattner, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Cuong Ba Le Case No. 01-02205 Morgan Stanley DW Inc. Hearing Site: Philadelphia, PA OF Claimant, Cuong Ba Le ("Le"), hereinafter referred to as "Claimant": Ernest Sasso, Esq., Law Offices of Ernest Sasso, Blue Bell, Pennsylvania. Respondent, Morgan Stanley Dean Witter ("Morgan Stanley"), hereinafter referred to as "Respondent": Richard Smith, Esq., Morgan Stanley De

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Leonard A. Calderone, Pamela K. Calderone, David A. Vore, Rosalie D'Amico, Maurice C. Latimer, and Larcia A. Latimer and 96-04879 Name of Respondent SunAmerica Securities, Inc. Name of Third-Party Respondent Michael A. Duby REPRESENTATION OF PARTIES Leonard A. Calderone, Pamela K. Calderone, David A. Vore, Rosalie D'Amico, Maurice C. Latimer., and L

•J , 4 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant-Counterrespondent Angelo Gordon & Co., L.P. 96-04878 Name of Respondent-Counterclaimant Jeffrey Eisenberg Names of Third Party Respondents John M. Angelo Michael L. Gordon REPRESENTATION Claimant Angelo, Gordon & Co., L.P. ("Claimants") was represented by Joel J. Bellows, Esq. and Nicholas P. Ivarone, Esq. of the law firm of Bellows &

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants William Arlington, Susan Arrington, W. Rodney Flanary, MD, John LaPrad, John McFarland, Julia McFarland, Julia McFarland c/f Alexis McFarland, Christopher C. McFarland, Julia McFarland c/f John L. McFarland, and Earl Passwaters and Case Number 96-04877 Names of Respondents Josephthal Lyon & Ross, Inc., Thomas F. Doran, and Kenneth

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between* Name of Claimant Olde Discount Corporation 96-04876 Name of Respondents William and Leslie Long CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 1, 1996, claimant Olde Discount Corporation ("Olde" or "claimant") through its representative and in-house counsel Robert Anders

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maxine Martincich 96-04875 Names of Respondents John Wohlberg Sovereign Equity Management Corp. I - J For Claimant: Richard R. Logsdon, Esq. of Clearwater, Florida and Allan J. Fedor, Esq. of the law firm of Fedor & Fedor of Largo, Florida. The Respondents were represented by Thomas W. Hands, Director of Compliance, Soverei

r NOV.15.,1998 8= 52PM NfiSD REGULATION FL p _ 10 N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between v Names of Claimants ' « Michael C. Williams and M. Elizabeth Williams : 96-04873 i Names of Resmmdents Robert W. Baird & Co., toe. Thomas 1. Linzmeier y ^ REPRESEPJTATION For Claimants: Patrick A. Davis, Esq. of the law firm of Patrick A. Dav

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William P. Brotherton 96-04868 Name of Respondents Dean Witter Reynolds, Inc. Bardyl Quku REPRESENTATION Claimant William Brotherton appeared pro se. For Respondents: James D, Yellen^Esq. pf Dean Witter Reynolds, Inc., New York, NY. CASE INFORMATION Statement of Claim filed: November 4, 1996. Claimant's Submission A