OCT.17,,1998 5:iSPM NflSD REGLJLflTION FL NO,984 P. 13 N,A,S.D. REGULATION INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Frank and Patricia I, Musolino 96-00799 Names _of_ResT>QJidents Kidder, Peabody & Co., Incorporated Lee Rosen REPRESENTATION For Claimants: William J. Schifino, Jr., Esq. and Kenneth G, Turkel,Esq, of Williams Reed Weiostein Schifino & Mangi,

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Amervest Capital. Inc. Name of Respondent WS Clearing, Inc. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-00796 REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: CASE INFORMATION Claimant's Submis

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Reston Association 96-00795 Name of Respondents Fletcher Haydcn Bookout Prudential Securities, Inc. REPRESENTATION For Claimant Reston Association ("Claimant"): Daniel A. Ball, Esq. of the law firm of Lewis, Goldberg & Ball, P.C., McLean, VA For Respondent Prudential Securities, Inc. ("PSI")- Christopher F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anna Pinto 96-00790 Name of Respondents Redstone Securities, In:. Camelot Investment Corp. Patrick Ogadi Robert Prisco REPRESENTATION For claimant Anna Pinto ("claimant") appeared Gregory S. Goodman, Esq., of the law firm Goodman & Goodman located in Mount Sinai, New York. All claims against respondents Redstone Sec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITI5S DEALERS. INC William ^. Sanaer REPRESENTATION For Respondent: Miles Radakovich, Pacific Grove, California CASE INFORMATION 996 HEARING INFORMATION Page 1 of 3 96-00783 CASE SUMMARY Claimant alleged misrepresentations, fraua and breach of is investment in Bus Line Media riduciary duty with respect Respondent denied Claimant's allegations of wrongdoing and denied any liab

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. and Case Number 96-00781 Name of Respondent Brian Stutt REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by Barrett H. Reasoner, Esq. of Gibbs & Bruns, LLP located in Houston, TX. Respondent Brian Stutt did not file an appearance.

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Mark P. Marshall, Claimant, and No. 96-00775 J.E. LIES & Co,, Inc., Jerome E. Lias, David F. Bahr, and Tariq Kahn, Respondents, ^PRESENTATION OF PASTIES Claimant Mark P. Marshall {"Mr, Marshall") was represented by John £, Dees, Jr., Esquire, located in Dallas, Texas. Respondent J.E. Lias & Company, Incorporated ("J.E. Lisa")/ Jerome

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between: H.K Chen v. Track Securities Corporation Case Number: 00-05405 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant H.K Chen hereinafter referred to as "Claimant": Represented himself. Respondent Track Securities Corporation hereinafter referred to as " Respondent": Marshall Ian Baron of Track Securities Corporation, Brooklyn, NY. Claimant filed a Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Merrill Lvnch, Pierce. Fenner & Smith, Inc. Name of Respondents A.G. Edwards & Sons. Inc. and Thomas M. Nicholson REPRESENTATION Michael J. Fortunate, Esq. Rubin & Associates, P.C. Paoli, Pennsylvania Jeff Jamieson, Esq. A.G. Edwards & Sons, Inc. St. Louis. Missouri Peter A. Goldennng, Esq. Goldenrmg & Pro

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants WeaSun Lido Securities Corp, 96-00770 Name of Respondents Chinese & American Investments, Inc. Jimmy Woo Yu-Lin Woo REPRESENTATION For Claimants Wea Sun ("Sun") and Lido Securities Corporation ("Lido") (collectively referred to as the "Claimants") appeared Theodore A. Krebsbach, Esq., of the Firm Kittay, Gold & Krebsbach located in White Plains, New York