AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robin Lynn Maratta, and Brian Keith Sembieda and 97-00093 Name of Respondents William C. Scott, Pamela Scott, and Fox & Company Investments Inc. REPRESENTATION OF PARTIES Robin Lynn Maratta, and Brian Keith Sembieda ("Claimants") were represented by Morris A. Kaplan, Esq.. and Mark Mcltzer, Esq., of Goldman & Kaplan, LT

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION* INC. CASE: 97-00092 Frank D. Lamond, claimant v. Corporate Securities Group, Inc. and Brandon Mader, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Drielle, NJ. For respondent Corporate Securities Group, Inc. appeared Gregory Tendrich, Esq. Boca Raton, FL. Respondent Brandon Mader did not appear. DATE FILED: 1/8/97. CASE SUMMARY: Claimant al

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between James P. Hall, and Mark Erik Hume, Claimants, v. No. 97-00091 Merrill Lynch, Pierce, Fenner & Smith, Inc. & David McWilliams, Respondents. REPRESENTATION OF PARTIES Claimants James P. Hall ("Hall") and Mark Erik Hume ("Hume") (collectively referred to as "Claimants") were represented by David M. Black, Esq. and Joseph A. Golden, Esq. of

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between oaimarti John A. and Cheryl A. Lund 97-00085 Name of Respondents Nicholas James Mavrakes; and Rickel & Associates, Inc. For Claimants: John A. Lund and Cheryl A. Lund ("Lund') were represented by David H. Zimmer. Esq. of Potomac, Maryland. For Respondents: Rickel & Associates, Inc. ('Rickel*) was represented by Leonard F. Lesser,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gregory R. Doane Case No. vs. 97-00077 Name of Respondents H.G.I. Steven Arevalo Mark Hanna John Bosco REPRESENTATION For Claimant Gregory R. Doane ("Doane") appeared Dominick J. Porto, Esq., a sole practitioner with offices located in New York, New York. Respondent H.G.I. ("H.G.I.") was not represented at the hearing. For Respondent Ste

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Prime Charter, LTD Grand Charter Group, Inc. 97-00076 Name of Respondent Robert P. Forila REPRESENTATION For claimants Prime Charter, LTD ("Prime") and Grand Charter Group, Inc. ("Grand"), (collectively "claimants") appeared David N. Mahler, Esq., in-house counsel for Prime located hi New York, New York. For respondent Robert P. Forfia ("responden

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant GaryFetman v. - -Arbitration No. 97-00072 of Respondents Monitor Investment Group Kenneth Fiiina Mark Burton Norman Lescht William Palla Michael Galasso Ron Doria Emanuel Gennuso Michael Cavallo REPRESENTATION For aaimant: Timothy N. Will, Esq. Albert & Will, LLP Torranc

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Steve and Kootela Collins and 97-00066 Name of Respondent Stratton Oakmont, Inc. Biltmore Securities, Inc. J.B. Oxford & Company Steven Barkoff Adam Friedland Edward Hull Jordan Belfort Kenneth Greene Daniel Porush Jordan Shamah Andrew Greene Steven Sanders REPRESENTATION OF PARTIES Steve and Kootela Collins ("Claimants") wer

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Patricia Venner 97-00062 Name of Respondent Josephthal Lyon & Ross Inc. REPRESENTATION Claimant Patricia Venner ("Claimant") appeared pro se. For Respondent Josephthal Lyon & Ross ("Respondent") appeared John Bersin, Esq., Associate General Counsel of Josephthal Lyon & Ross Inc. CASE INFORMATION Statement of Claim was filed on January 6, 1997. Claimant'

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jose de Guevara and Hannalore de Guevara (Claimants) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Selim S. Beyda (Respondents) Case Number: 01-01420 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jose de Guevara ("J. de Guevara") and Hannalore de Guevara ("H. de Gue