Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Medusa Finanz Anstalt and F&MWL Enterprises, Inc., (Claimants) vs. Sam Ramirez, Jr. and Ramirez & Co., Inc., (Respondents) Case Number: 01-01419 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Medusa Finanz Anstalt ("Anstalt") and F&MWL Enterprises, Inc. ("F&MWL"), hereinafter collectively referred to as "Claimants": David Jaroslawicz, Esq., Jaroslawicz &

\ NASD REGULATION, INC. AWARD Jn the Matter of the Arbitration Between Name of Claimant Howard Jacobs Name of Respondent PaineWebber, Inc. 97-00033 REPRESENTATION Claimant Howard Jacobs ("Claimant") appeared pro se. For Respondent PaineWebber, Inc. ("Respondent") appeared Major Kahn, Esq., in-house counsel located in Weehawken, New Jersey. CASE INFORMATION Statement of Claim filed on: January 3, 1997. Claimant's Submission Agreem

L NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Boston Group, L.P. 97-00030 Name of Respondent Patrick Joseph Carroll REPRESENTATION Claimant The Boston Group, L.P. ("Claimant") was represented by Richard P. Ryder, Esq., Maplewood, Nl. Respondent Patrick Joseph Carroll ("Respondent") represented himself. CASE INFORMATION Statement of Claim filed: Januar

AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Dean Witter Reynolds, Inc. and 97-00018 Name of Responden.t/C Qun , ter 'Claimant Robert D. Zielke REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Dean Witter Reynolds, Inc. ('Dean Witter") was represented by Mark L. Kowalsky, Esq. and Miles D. Hart, Esq. of Hertz, Schram & Saretsky, P.C

NASD RKG! LAilON, INC AWARD In the Matter of the Arbitration Fietween Name of Claimant Richard C. Frank Case No. 97-00017 vs Name of Respondents A.G. Edwards & Sons, Inc. Roger Stevenson REPRESENTATION For Claimant Richard C, Frank ("Claimant") appeared Jeffrey A. Sellers, tsq.. of the firm Silverberg. YoocL Sellers & McGorry located IK Buffalo, New York. For Respondents A.G. Edwards & Sons. Inc. ("A.G. Hd\vards") and Roger Stevenson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Madhusudan Sen as Power of Attorney for Pradeep Srivastava, (Claimant) vs. W.R. Lazard, Laidlaw & Luther Incorporated and Bernard K. Addo, (Respondents) Case Number: 97-00014 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Madhusudan Sen ("Sen") as Power of Attorney for Pradeep Srivastava ("Srivastava"), hereinafter referred to as "Claimant": Martin L. Fei

'4' N.A,SJ>. AWARD r ""' NATIC^AL ASSOCIATION OF SECURTHESDEAURS into Matter of the ArbtotbaBewwa AtJdwwTCHOBakovic 9*00008 Redremmt InvegOpent Group Angaa Financial Services Inc. Sigfl*! Securities Inc. _ ForOiimaijt Jtf^P;C61cmaluEs(i^ ^ Ttop ftBodokm, P.A., Ft Lautedale, Florida. ForRMpondttit AngoflFinandal Service* Inc. ("Aragon t *): Scott L. Warfinan, Esq., ofthelawfinnof Bloom (fcWttflnan, PA,, Miami, Florida, For

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jonathan Orban, Claimant, vs. 97-00006 Norcross Securities, Inc., a/k/a Norcross & Company, Respondent. REPRESENTATION OF PARTIES Jonathan Orban ("Claimant") was represented by John W. Clark, Jr., Esq., Dallas, Texas. Norcross Securities, Inc., a/k/a Norcross & Company ("Respondent") was represented by Robert L. Dossey, Esq., Phoenix, Arizon

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant AZ Investment Fund and 97-00004 Phoenix, Arizona Name of Respondents First Associated Securities Group Inc. Round Hill Securities Inc. Brent Pulver REPRESENTATION OF PARTIES AZ Investment Fund ("Claimant") was represented by Michael Salcido, Esq., Renaud, Cook & Drury, P.A., Phoenix, Arizona. First Associated Securities Group Inc. ("Respondent

Award 96-05847 Page Two June: 12 19*57 - Two Sessions October 7. 1997 - Two Sessions October 8. 1997 - Two Sessions October 9. 1997 - Two Sessions October 22. 1997 - Two Sessions November 19. 1997 - Two Sessions November 24, 1997 - Two Sessions The hearing was conducted at the offices of NASD Regulation, Inc. located in New York. New York. CASE SUMMARY Claimant alleged that he was hired by Respondent Creditanstalt on October 3. 1994 as