AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Winifred Frances Brown as Trustee FBO the Brown Trust v. Arbitration No. 95-05476 Name of Respondents Pacific Coast Financial Securities, Inc., Robert Krakower, David C. Erickson, Don Tullio Morandini, Thomas Gans, Kirt Ashman, Scott Presta, Beacon Income Funds I, L.P. through XXX, L.P., Beacon Acquisition Corp. and Beacon Energy,

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Neil R. Haas v. Arbitration No. 95-05471 Name of Respondents Ian Hosang and Norfolk Securities Corporation REPRESENTATION For Claimant: In Pro Per For Respondents: No appearance CASE INFORMATION Statement of Claim filed: November 20, 1995 Claimant's Submission Agreement signed: November 2, 1995 Respondent Ian Ho

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Warren Hicks and Georgene K. Waterman, formerly Georgene K. Hicks Arbitration No. 95-05470 Name of Respondent(s) Sutro & Co., Incorporated REPRESENTATION For Claimants: Philip M. Aidikoff, Esq., Aidikoff & Uhl, Beverly Hills, California For Respondent: Gilbert R. Serota, Esq., Howard Rice Nemerovski Canady Fa

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Investln Securities Corp. and 01-1101 Southfield, Michigan Castle Mountain Group, L.L.C. REPRESENTATION OF PARTIES Investln Securities Corp. ("Claimant") was represented by Jim Cott, Investln Securities, Group, Dallas, Texas. Claimant appeared at hearing by telephone. Castle Mountain Group, L.L.C. ("Respondent") was represented by K. Alexander, Esq., Alexander & Ass

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Maria Elena Garcia Juan L. Puerto John Lastra John Lastra, Jr. 95-05456 Name of Respondents Sovereign Equity Management Corporation Lawrence Cacciatore REPRESENTATION For Claimants: Scott C. Ilgenfritz, Esq. of the law firm of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, FL. For Respondents: Burt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Ronald C. Betten Name of Respondents Smith Barney, Inc. f/k/a Smith Barney, Harris, Upham & Co. Inc. NASD Arbitration No. 95-05441 REPRESENTATION For Claimant: For Respondents: Bruce R. Safran, Esq. Law Offices of Bruce R. Safran Tarzana, California Scott E. Kretsch, Esq. Smith Barney, Inc. New Yor

N.A.S.D. AWARD In the Matter of the Arbitration Between Names of Claimants Mark and Lora J. Gerhardt 95-05440 Names of Respondents Noble Investment Co. of Palm Beach Bear Stearns Securities Corp. Jeffrey B. Jerome REPRESENTATION For Claimants, Mark Gerhardt and Lora Gerhardt ("The Gerhardts"): pro se (Mark Gerhardt), HiUsboro Beach, Florida. For Respondents, Noble Investments ("Noble") and Bear Stearns Securities Corporation ("Bear S

AWARD NASD, Regulation, fee., Office of Dispute RMohttion In the Mttwr of the ArMtntum Between Everen Securities, lac. He/a Kemper Securities, Inc. Claimant NASD Regulation, Inc. v. No. 95-03435 Waiter Azevedo Respondent W PAttTTVX Everen Securities, Inc. ("Claimant") was represented by Kenan I. Sugannan, Esq., Everen Securities, Chicago, Illinois. Walter Azevedo ("Rwpendeat") represented himself pro se. CASE Claimant's State

NASD REGULATION, INC. STIPULATED AWARD In the Matter of the Arbitration Between Name of Claimant Kenneth M. Longo 95-05432 Name of Respondent Prudential Securities Inc REPRESENTATION Claimant Kenneth Longo appeared pro se. For Respondent, Prudential Securities, Inc., appeared Kenneth Gerver, Esq., in-house counsel. CASE INFORMATION Statement of Claim filed: November 14, 1995. Claimant's Submission Agreement signed on: November 8, 1995

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jon Michael Drancik 95-05429 Name of Respondent National Discount Brokers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1995, Claimant Jon Michael Drancik ("Claimant"), who appeared Pro Se, alleged that Respondent National Discount Brokers ("Respondent") failed to proper