AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Nancy M. Perry and The Gilbert David Perry Rowe 1997 Trust and 00-05149 Dallas, Texas Name of Respondents A.G. Edwards & Sons, Inc. and Ted G. Gray, Jr. REPRESENTATION OF PARTIES Nancy M. Perry and The Gilbert David Perry Rowe 1997 Trust ("Claimants") were represented by Michael G. O'Neill, Esq., Law Offices of Michael G. O'Neill, Dallas, Texas.

rV.A,S.D. REGULATION A'VAJRD NATIQNAJL ASSOCIATION OF SECyRlTjES DEALERS RFrafLATTON. INC, CASE: 96-03361 Charles B. Van Horn, claimant v. LaCroix Alexander Financial Corp. and GPS Consultants Corp respondents. ATTORNEYS: Claimant appeared Pro Se. - Visalia, CA. For Respondents Dan R, Waller, Esq., of the firm, Secore & Waller - Dallas, TX. DATE FILED: August 8, 1996. CASE SUMMARY: Claimant alleged negligence, misrepresentations, omissions and e

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Rickel & Associates, Inc. 96-03354 Name of Respondent William Nesmith REPRESENTATION For Claimant Rickel & Associates, Inc. ("RAI") appeared Peter Seiden, Esq., of the law office Schneck, Weltman, Hashmall, & Mischel located in New York, New York. Respondent William Nesmith ("Respondent") did enter an appearance in this matter.

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Joseph Mattero 96-03352 Name_af Respondents James Walsh Joseph Dillon & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc., on September 4, 1996, Claimant, Joseph Mattero ("Claimant"), who appeared pro-se, alleged that in April of 1996 he met with Respondent, James Walsh ("Walsh")

NASDR AWARD NASDR. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John Mark Jacobsen NASDR Arbitration #96-03351 vs. Name of Respondents) Maidstone Financial, Inc. Paul Metz REPRESENTATION For Claimant: John Mark Jacobsen, San Diego, California For Respondents: Debra M. Snyder, Esq., Maidstone Financial, Inc., New York, New York CASE INFORMATION Statement of Claim filed: August 5,

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Rickel & Associates, Inc. 96-03350 Name of Respondent Peter Foley REPRESENTATION For claimant Rickel & Associates ("claimant") appeared Peter Seiden, Esq. of the iaw firm of Schneck, Weltman, Hashmall & Mischel III*, located in New York, New York. k, Respondent Peter Foley ("respondent") appeared pro se. h CASE INFORMATION Statement of Claim was filed on August 5, 1996. Claiman

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Karen Rossi, Claimant, and No. 96-03344 PaineWebber, Inc., and Todd W. AcufF, Respondents. REPRESENTATION OF PARTIES Claimant, Karen Rossi, was represented by Jane L. Stafford, Esquire of Spencer, Fane, Britt & Browne LLP, located in Kansas City, Missouri. Respondents, PaineWebber, Inc. and Todd W. Acuff, were represented by Richard B. Walsh, Es

W NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Philip A. Goldstein 96-03342 Name of Respondent Prudential Securities Inc. REPRESENTATION Claimant Philip A. Goldstein ("Claimant") was represented by Walter L, Baumgardner, Esq., Musilli, Baumgardner, Wagner & Parnell, St. Clair Shores, ML Respondent Prudential Securities, Inc. ("Respondent") was represented by Richa

AWARD / NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John Jonen and 96-03341 Name of Respondent LaJolla Corporation Robin Rushing Peter D. Ragofsky REPRESENTATION OF PARTIES John Jonen ("Claimant") was represented by Nathan D. Simmons, Esq., Jones & Keller, P.C., Denver, Colorado. LaJolla Corporation ("Respondent LaJolla") and Robin Rushing ("Respondent Rushing") were

MAR.25.1998 li:56flM NRSD REGULATION FL NO.791 - p. 3x9 NASD REGULATION, INC, AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James Cassettari Case No, 96-03338 Names of Respondents S.D. Conn and Co., Inc. Bernard Musmand REPRESENTATION OF PARTIES Claimant James Cassettari appeared pjo gg. For Respondent Bernard Musmand (Musmand); Gary Miller, Esq. of the law firm of Stein, Rosenberg & Win