N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05614 Ruth Koretsky, claimant v. Nutmeg Securities Ltd. and Jeff Ansted, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Sylvania, OH. For respondent Nutmeg Securities, Ltd. appeared R. Sherman Jent - Westport, CT. Respondent Jeff Ansted appeared pro se - Westport, CT. DATE FILED: 12/18/96. CASE SUMMARY: Claimant alleged liquidation of

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05613 Intervivos Irrevocable Trust of Harold Reich, claimant vs. Greenway Capital Corp., respondent. ATTORNEYS: Claimant appeared Pro Se through its Trustees Harold Reich and Chaya Reich, Israel. Respondent Greenway Capital Corp. did not respond to the Statement of Claim. DATE FILED: December 18, 1996 CASE SUMMARY: Claimant alleged that he sustained a loss whe

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the arbitration between Name of Claimant Steve L. Greenberg VS. NASD # 96-05611 Name of Respondents Tripp & Co., Inc. Steven L» Frank Donald L. carman Kevin O'Connor REPRESENTATION For Claimant Steve L. Greenberg ("Claimant"), Daniel J. Brooks, Esq. and Eamonn F. Foley, Esq. of Layton Brooks & Hecht, 745 nftti?. Avenue, New York, New York.

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfsl Philip G. Heyde V Arbitration No. 96-05605 Name of Respondent^ Capitol Bay Securities, Inc. Steven W. Ricketts Stephen C. Kircher REPRESENTATION For- Claimant: Matthew V. Brady. Esq. Sacramento. California For Respondents Capitol Bay Securities and Stephen C. Kircher: Stephen M. Harris. Esq. Knapp }

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: First Southwest Company ("Claimant') vs. Joseph Roberts & Co., Joseph F. DeSanto and Robert DiMarco ("Respondents") Case Number: 96-05603 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, First Southwest Company ("First Southwest") Cheryl Jerome Moore, Esq.: Arter & Hadden, Dallas, Texas. Respondent, Joseph F. DeSanto ("DeSanto"): Gregg J. Bre'rtbart, Esq.,

/ AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Prudential Securities Inc., Claimant, and No. 96-05602 William O. Alexander, Respondent. * REPRESENTATION OF PARTIES Claimant, Prudential Securities Incorporated, was represented by Mr. Michael A. Kraft, Esquire of Gomberg Kane & Fischer, Limited. Respondent, Mr. William O. Alexander, was not represented in pleadings or at the hearing in this

NASD REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of an Arbitration between: Lars-Erik Jonsson NASD NO. 96-05601 Claimant, v. Stratton Oakmont, Inc., Daniel Porush, Leonard Dunn, Jordan I. Shamah, Patrick Gerard Hayes, Howard Scott Gelfand, Mathias Valentine Tiffert, Steven P. Sanders, Robert William Koch, Keith L.J. Connolly and Todd Haufler -- • • Respondents. •-••• REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sophie Geraghty, (Claimant) vs. Copeland Equities, LLC, Sentra Securities Corporation, and Jeffrey Scott Sloan, (Respondents) vs. First Matrix Financial Services Corp. (Third-Party Respondent) Case Number: 01-01400 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sophie Geraghty, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., a sole practiti

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard W. Bamerick Trust and 96-05596 Name of Respondent Shearson Lehman Brothers, Inc. D.E. Frey & Co., Inc. James F. Glaza Name of Third Party Respondent Richard W. Bamerick REPRESENTATION OF PARTIES Richard W, Bamerick Trust ("Claimant") and Richard Bamerick, individually^ were represented by Daniel T. Moyle, Esq

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION * \ - \ 'J In the matter of the Arbitration Between Name of Claimant Val Harris v. Arbitration No. 96-05595 Name of Respondents Bidwell & Company Jerry Bidwell REPRESEJNtAtlON OF PARTIES Val Harris ("Claimant") represented himself, pro se. -iris Bidwell & Company and H. Gerald Bidwell ("Respondents") were represented by David £lark, Bidwell & Company, Portland, Oregon.