NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Raymond Nisi IkHnenick F. D* Angelica Mario h Abaii Philip Darrigo Armando Battista Case No. vs. 96-00697 Maine of Respondents A.S. Goldmen & Company, inc. Robert Fox Christopher Panza Anthony J. Marchiano Stuart E. Winkier Steven Kaplan Salvatoie Ntachiano Kemper Clewing Corp. For Claimants Raymond Nisi ("Nisi"), DomenicLt F. D'AngeJ

I Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Joseph G. Rogillio and Bertha M. Rogillio as Trustees of the Joseph G. Rogillio and Bertha M. Rogillio Revocable Trust dated March 5, 1991 Case No. 01-01145 Names of Respondents William Hennion William W. Walsh Nori, Hennion, Walsh, Inc. Name of Third Party Respondent Michael J. Metzger Hearing Site: New Orleans, LA REPRE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Calvin W. Roberts 96-00695 Name of Respondent LaJoIla Capital Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1996, Claimant Calvin W Roberts ("Claimant"), who appeared Pro Se. alleged that Respondent LaJolla Capital Corp. ("Respondent") failed to inform him that Ima

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Benjamin and Mary Oswalt Trust 96-00687 Prudential Securities Incorporated; William E. Laheta REPRESENTATION For Claimants; The Benjamin and Mary Oswalt Trust ("Oswalt") was represented by James J. Eccleston, Esq. of Uscian & Eccleston, located in Chicago, Illinois. For Respondents; Prudential Securities Incorporated ("Prudent

N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Narnes _oj: Clajmantfi Steven and Eva Varga Ja&zay 96-00683 Names of Respondents Joel B. Deitch Northeast Brokerage Services Corp. REPftE^JTATION Claimants appeared pro gg, For Respondents; Stanley T. Padgett, Esq. of Morgan, Padgett & Mierzwinski, P. A., Tampa, Florida. CASE Statement of Claim filed: February 12, 1996. Amen

N,A.S.D. AWARD V NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Saleem H. Malik 96-00682 Name of Respondent Smith Barney Inc. Victor E. Lambert, III REPRESENTATION For claimant Saleem H. Malik ("claimant") appeared Sheldon Eisenberger, Esq. a sole practitioner located in New York City, New York. For respondents Smith Barney, Inc. ("SBS") and Victor E. Lambert, HI ("Lambert"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond lacobacci 96-00673 Name of Respondent Alex Lemberg REPRESENTATION Claimant Raymond lacobacci ("claimant") appeared pro se. Respondent Alex Lemberg ("respondent") did not enter an appearance in this matter. CASE INFORMATION Statement of Claim filed on February 27, 1996. Claimant's Submission Agreement signed on J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Armand Suffoletto 96-00671 Name of Respondent Dean Witter Revnolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1996, Claimant Armand Suffoletto ("Claimant'). who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. ("Dean Witter"), wrongly imposed a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard A. and I.ynallen Yehl 96-00670 Name of Respondents J.W. Gant and Associates, Inc. Vadim Mostovoy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14, 1996, claimants Richard A. and Lynallen Yehl ("claimants"), through their representative and counsel Michael A. Yehl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 96-00665 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 14 V 1996, Prudential Securities Inc. ("Claimant"), Through its representative and counsel, Steven P. Gomberg, Esq., Gomberg Kane & Fischer. Ltd., alleged that Respondent Seong Kyun Kim ("Resp