Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: George Spencer and Rhoda Spencer, Claimants v. First London Securities Corporation and Doug Nichols, Respondents Case Number: 01-00966 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For George Spencer and Rhoda Spencer, hereinafter referred to as "Claimants": David A. Greene, Esq., with the law firm of Hunt, Cook, Riggs, Mehr & Miller, P.A., Boca Raton, FL. Fo

*< H/22/99 THU OS:50 FAX NASD REGULATION i , --i NASD REGULATION, INC AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Clamant -* H.M. Debartolojr, of Re^pipnifeptji/Third-Partv Claimant Josephthal Lyon & Ross Incorporated; 95-01977 Donald H. Hunter Name Thir-Partv Stuart Coleman & Co., Inc.; J.R. Bautista For Claimant: H, M. Debartolo, Jr. ("Debartolo") was represented by Paul J. Sussm

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Steven K. Wolfe Helen L. Wolfe Claimants NASD Regulation, Inc. v. No. 95-01975 Unicorp Financial Corp. Joe Foss & Company Joe Martin Foss Respondents REPRESENTATION OF PARTIES Steven K. Wolfe and Helen L. Wolfe ("Claimant") was represented by Reed H. Dement, Esq., Law Offices of Reed Dement, San Francisco, California. Unicorp F

NASD Arbitration No. 95-01971 W.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INCL In the matter of the Arbitration Between Name of Claimantfs) Frances R. Arrigo Name of Respondent(s) La Jolla Securities Corp. Bruce Alan Biddick Peter A. Schur Gary Wayne DePriest REPRESENTATION For Claimant: Morton Levy, Emeryville, California and Jay Jannsen, Los Altos, California For Respondents La Jolla Securities Corp, and Bruc

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Lawrence Jarvis, individually, and as Custodian for James L. Jarvis, Carrie A. Jarvis, and Rebecca Jarvis 95-01949 Names of Respondents L.C. Wegard&Co., Inc. Timothy Livingston Leonard B. Greer Daniel F. Petronelli Victor Samaha REPRESENTATION For Claimants Lawrence F. Jarvis ("Jarvis"), individually, and as a Custodian for James L. Jarvis, Ca

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Anne Francavilla Names of Respondents John Slavic Slavic Investment Corporation Case No. 01-00961 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Anne Francavilla ("Francavilla") hereinafter referred to as "Claimant": Albert A. Rapoport, Esq., Boca Raton, Florida. For John Slavic ("Slavic") and Slavic Investment Corporation (

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between William Killebrew Claimant NASD Regulation, Inc. v. No. 95-01943 Kidder Peabody & Co., Inc. Gregory F.Wilbur Respondents REPRESENTATION OF PARTIES William Killebrew ("Claimant") was represented by Lawrence A. Callaghan, Esq., Severson & Werson, San Francisco, California. Kidder Peabody & Co., Incorporated and Gregory F. Wilbur ("Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John W. Dami Case Number: 95-01938 Name of the Kemper Clearing Corp. n/k/a BNY Clearing Services, LLC A.T. Brod & Co., Inc. Arthur Stupay Mark lacono Jugal Taneja Mark Sharboro Hearing .Site: Washington, D.C. RF.PRFSFNTATTON OF PARTTKS Claimant, John W. Dami, hereinafter referred to as "Claimant", was not represented by counsel.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mustak Vohra and Marilyn Pagan 95-01935 Name of Respondents Robert W. Villaflor; Stephen A. Medich; Regal Discount Securities, Inc. REPRESENTATION For Claimants: Mustak Vohra ("Vohra") and Marilyn Pagan ("Pagan") appeared pro se. For Respondent: Stephen A. Medich ("Medich") and Robert A. Villaflor ("Villaflor") appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matte*, of the Arbitration Between Name of Claimant^ Commonwealth Associates 95-01929 Name of Respondents) Salvatore D'Elia REPRESENTATION For Claimant Commonwealth Associates ("Claimant") appeared Allan N. Taffet, Esq. of the fina Paradise & Alberts LLP, located in New York, N.Y. Respondent Salvatore D'Elia ("Respondent") did not enter an appearance in this matter. C^SE IN