AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Padula Living Trust v. Arbitration No. 95-03098 Name of Respondents f Brokers Investment Corp., Norman Shubert. Daniel Steinberg, Martin May, Jeffrey Lobel, William Rossi, Raymond Niesslein, Thomas Shuben. Sovereign Capital Group, Inc., Sovereign Capital Group of Nevada, Sovereign Investment Corporation and Sovereign Capita

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Sheen-Lynn Fleischer 95-03088 Name of Respondents) Michael Orlino Ronald Cropper REPRESENTATION The Claimant appeared pro se. For Respondent Ronald Cropper: Joseph R. Corozzo, Jr., of the law firm of Robinson and Corozzo, P.C., New York, NY. The Respondent Michael Orlino appeared pro se. CASE INFORMATION Stat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01001 William Brown and Jean Brown, claimants vs. Erik S. Blum and First Republic Group, LLC, respondents. ATTORNEYS: Claimants appeared pro se, Woodland Hills, CA. For Respondent, Erik S. Blum, appeared Cary David Kessler, Esq., of the firm Farley & Kessler, P.C., New York, NY. For Respondent, First Republic Group, LLC, appeared in-house counsel, John J. Vaughan, Esq., New Yor

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard F. Cooper, Jr. Case No. 95-03075 Name of Respondents rJanney Montgomery Scott Inc. Arthur Brent Taylor REPRESENTATION For Claimant Richard F. Cooper, Jr. ("Cooper"): Jonathon Katz, Esq. of Jacobs, Grudberg, Belt & Dow, P.C. of New Haven, CT. For Respondents Janney Montgomery Scott, Inc. ("JMS") and Arthur Brent Taylor ("Taylor"): Paul

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David Bloom Family Trust; Edith Bloom; Katie Lynn Bloom; Dianne Bloom 9503074 Name of Respondents M. Rimson and Co, Inc. Moshe Rimson ars - ''"-' James Schecktman . „ _ A« Wghte Reserve, REPRESENTATION For Claimants appeared Anthony J. Horn, Esq. of the law firm of Hwang & Associates P.C. located in Phi

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Ron Pelleg v. Arbitration No. 95-03071 Name of Respondents PaineWebber, Inc., Baraban Securities, and ETI Solutions, Inc. REPRESENTATION For Claimant: L. Stephen Albright, Esq. Wasserman, Comden & Casselman Tarzana, California For Respondent: Robert A. Uhl, Esq. Robert A. Uhl, Inc. Beverly Hills, California

NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant fsl PaineWebber Incorporated Arbitration No. 95-03066 Name of Respondent(si Sidney Eng For Claimant; Kathryn L. Krebs, Esq., PaineWebber Incorporated, Los Angeles, California For Respondent: Anthony M. Englese, Esq., San Francisco, California CASE INFORMATION Statement of Claim filed: June 21, 1995 Claimant's Reply to Counterclaim filed: January 16, 1

^ National Association of Securities Dealers, Inc. All Rights Reserved 95-03059 NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Patricia Rogers, individually and on behalf of the Samuel M. Rogers Residual Trust, P.A. Rogers, Ltd. Partnership, and SAROCO, Inc. and Name of Respondent Prudential Securities, Inc. Leslie Reese REPRESENTATION OF PARTIES Patri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yvonne R. Acuna and Rodolfo Acuna, et a/., Claimants vs. Smith Barney, Inc., Sterling Smith and Frank Maggio, Respondents. Case Number: 95-03048 Hearing Site: Houston. TX REPRESENTATION OF PARTIES Yvonne R. Acuna and Rodolfo Acufia, Esther A. Almaraz and Ernst G. Arnold, Colibri Holdings, Inc., Rene Gutierrez Jimenez, Mercedes Lenz de Gutierrez and Adriana Gutierrez Lenz,

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between C National Associatio/f of Name of Claimant Securities Dealers, fn:. Frank L. Comes WQ< and Case Number 95-03045 M **#«* Reserved (consolidated with 95-0405 1) Names of Respondents Kirkpatrick, Pettis, Smith, Polian, Incorporated, Dickinson and Company and Robert Vernon REPRESENTATION OF PARTIES Frank L. Comes ("Cl