N.A.S.D. REGULATION, INC. AWARD i i CASE: 98-00039 Susan F. Hilton, claimant vs. First Liberty Investments Group, respondent. ATTORNEYS: Claimant appeared Pro Se. - Delray Beach, FL. For respondent appeared Nicholas J. Guiliano, Esq. - Philadelphia, PA. DATE FILED: 1/5/98 -CASE SUMMARY: Claimant alleged forgery and unuthorized trading. Claim Data Award Data Claim: $10,000.00 Award: $.00 Atty Fees: $.00 Arty Fees: $.00 Filing Fees: $.00 '

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Qimat Goyal, Claimant vs. The Jeffrey Matthews Financial Group, LLC, Jeffrey R. Halpert, and Matthew B. Cohen, Respondents Case Number: 98-00038 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant Qimat Goyal "Claimant" appeared Eric Sussman, Esq., with law offices in Garden City, New York. For Respondents The Jeffrey Matthews Financial Group, LLC ("JMF

Award NASD Dispute Resolution, Inc. < e Matter of the Arbitration Between Names of Claimants iarold Banks and Derrick B. Banks JTWROS Harold Banks and Hazel L. Banks JTWROS Case No. 01-01746 Name of Respondent Patterson Travis, Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Claimants Harold Banks and Derrick B. Banks JTWROS and Harold Banks and Hazel L. Banks JTWROS, hereinafter collectively referred to as "Claimants"

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Samuel Gottlieb and 98-00032 Name of Respondents OLDE Discount Corporation, Jeffrey Votruba, and Steven Ledyard REPRESENTATION OF PARTIES Samuel Gottlieb ("Claimant") was represented by John R. Augustine, Jr:, Esq., Phoenix, Arizona. OLDE Discount Corporation ("OLDE"), Jeffrey Votruba ("Vortuba"), and Steven Ledyard ("Ledyard")(jointly referred

AWARD NASD Regulation, Inc. - In the Matter of the Arbitration Between H. Greene & Company Profit Sharing Plan Claimant, v. . 98-00031 -Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent. REPRESENTATION OF PARTIES Claimant H. Greene & Company Profit Sharing Plan ("Green") was represented by Paul D. Frenz, Esq. of McBride, Baker & Coles located in Chicago, Illinois. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch")

JflN.E4.1999 10:08flM NO.776 P.9 i - AWARD NASD Regulation, Inc. la the Matter of the Arbitration Between nf Cfoi Gloria C. Wiley NASD CASE NO. 98-00027 Names of Respondents Josephthal, Lyon & Ross, PCM Securities, Ltd., L.P., First Affiliated Securities, ' Northeast Securities, Inc., and Melvin Forman REPRESENTATION For Qaimant: John R. Kleiner, Jr., Esq. of Riden, Earte & Kiemer, P.A., St. Petersburg, Florida- rK^ •

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Hariharan G. Iyer v. Name of Respondent Datek Securities Corp. Arbitration No. 98-00024 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Hariharan G. Iyer In Pro Per Diamond Bar, California Craig R. Bockman, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald, LLP Los Angeles, California CASE INFORMAT

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants First of Michigan Corp. n/k/a Oppenheimer & Co., Inc., and Fahnestock & Co., Inc. n/k/a Oppenheimer & Co., inc. and Names of Respondents Robert W. Baird & Co., Inc. Robert Stanczak, Rex Stanczak, Frederick Trudo, William Phillips, Bruce Dunbar t Patty Dawson, and Terri Metter Case Number: 98-00023 Hearing Site: Southfield, Mi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between John D. Manske, Claimant; v. No. 98-00021 Anthony G. Gilchrist, and Sands Brothers & Company, LTD.. Respondents. REPRESENTATION OF PARTIES Claimant John D. Manske (''Claimant") was represented by Mark E. Sanders, Esq. and Mary Beth Peranteau, Esq. of Hailing & Cayo, S.C. located in Milwaukee, Wisconsin. Respondent Anthony G. Gilchrist ("Gilchrist") was represented by Jo

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Donald Krekelberg, Bernette Krekelberg, . Evelyn G. Temus by POA, and Judy Adams : . and 98-00019 Name of Respondents . The Equitable Life Assurance Society of the United States . " AnsulaLiu - Emphasys, Inc. Pioneer Consulting & Technology, Inc. REPRESENTATION OF PARTIES Donald Krekelberg, Bernette Krekelberg, Evelyn C. Temus by POA and Jud