NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Cruttenden Roth, Inc. 96-04821 Name of Respondent Felicia Choi REPRESENTATION For Claimant Cruttenden Roth, Inc. ("Cruttenden") appeared Paul I. Hamada, of the law offices of Keesal, Young & Logan, located in Long Beach, California. For Respondent Felicia Choi ("Choi") appeared Thomas D. Mauriello, Esq., a sole practitioner with offices in San Diego, Ca

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Names of Claimants David Kast K.P.M., Inc. 96-04818 Names of Respondents Greenway Capital Corporation Dominick DeLorenzo Barry Morton Ferrari Joseph M. Guccione Fred Luthy For Claimants David Kast ("Kast") and K.P.M., Inc. ("KPM") (collectively "Claimants") appeared Jenice L. Malecki, Esq. of the law offices Singer Zamansky LLP located in New York, New

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04814 Olde Discount Corporation, claimant vs. Valentino Price, respondent. ATTORNEYS: For Claimant Robert S. Anderson, Esq., in-house counsel located in Detroit, MI. Respondent did not respond to the Statement of Claim DATE FILED: October 15, 1996 CASE SUMMARY: Claimant alleged that respondent placed a sell order and was paid for 56 shares of Sears Roe

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Rauscher Pierce Refsnes, Inc., Claimant, v. No. 96-04812 Everen Securities, Inc., Bryan Scott McMillan, and Leonard V. Mauck, Respondents. REPRESENTATION OF PARTIES Claimant Rauscher Pierce Refsnes, Inc. was represeriild by Steven E, Aldous, Esquire, of Sayles & Lidji, located in Dallas, Texas. Respondents Everen Securities, Inc., Bryan Scot

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Sewell Gelberd and Barbara Gelberd, Claimants and Counter-Respondents, and No. 96-04809 Smith Barney, Inc. and Jeff Mackevich, Respondents and Counter-Claimants. REPRESENTATION OF PARTIES For Claimants: Sewell Gelberd and Barbara Gelberd ("Claimants") were represented by Vern J. Holzhall, Esq. of Uscian & Eccleston, located in Chicago, Illinois. For

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Q'aimantfg) Estate of Doris C. Strother, et al. 96-04803 Name of Respondents') Prudential Securities Inc Frank Evans REPRESENTATION For Claimant Estate of Doris C. Strother, et al. ("Claimant") appeared Timothy L, Burke, Esq. of UAW- GM Legal Services Plan, located in Cheektowaga, NY. For Respondents Prudential Securities Inc. and Frank Evans ("Respondents") appeare

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/ Counter Respondent Trudy K. Walker V. 01-02198 . Denver, Colorado Respondent / Counter Claimant . . Salomon Smith Barney. Inc. REPRESENTATION OF PARTIES Trudy K. Walker ("Claimant") was represented by Linda M. Deola, Esq., of Reynolds, Motl and Sherwood, Helena, Montana. Salomon Smith Barney, Inc. ("SSB") was represented by Marcy A. Mintz, Esq., of Salomon S

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Manuel and Peggy Orozco v. Arbitration No. 96-04802 Name of Respondents Smith Barney. Inc. and Todd J. Pilosi REPRESENTATION For Claimants: Scott R. Shewan, Esq. Born, Pape & Shewan L.L.P. Clovis. California For Respondent: Christopher B. O'Malley ' Smith Bamey General Counsel New York, New York CASE IN

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Joan Newberg 96-04801 Name of Respondents American Eagle Investments, Inc. Stanley Fagin REPRESENTATION Claimant Joan Newberg ("Claimant") was represented by J. Scott Kramer, Esq., Duane Morris & Hecksher, Philadelphia, PA. Respondents Stanley Fagin ("Fagin") and American Eagle Investments, Inc.

03/27/98 MON 11:05 FAI NASD REGULATION •v. NASD Regulation, Inc., Award In the Matter of Arbitration Between Bette Gorra, Claimant, and No. 96-04795 Prudential Securities, Inc., Alan D. Klibanoff, Stacy D. Klibanoff, Barry L. Harrison;, Wendy J. Harrison, John M. Picarello, and KarenAPicarelio, Respondents. REPRESENTATION OF PARTIES Claimant, Bette Goira ("Gorra") was represented by Raymond S. Heyraan, Esquire of Roshka, Heyman &