Arbitration & Mediation National Association of Securities Dealers, Inc. * 515 E. Las Olas Boulevard * Suite 1 100 * Fort Lauderdale, FL 33301 * Phone 954-522-7391 * Fax 954-522-7403 * NASD Regulation, Inc. AWARD Office of Dispute Resolution In thp Maftpf nf thp Arhitrafinn Name of Claimant Douglas Shapiro and 96-03267 Name of Respondent PaineWebber, Inc. Ira P. Cohen Lucille Weist Merrill Lynch Pierce Fenner & Smith, Inc. REPRES

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant The O'Leary Family Revocable Trust 96-03265 Name of Respondents Bear Stearns & Company George Jackson Montgomery, II REPRESENTATION For claimant The O'Leary Family Revocable Trust, David Tachau, Trustee ("claimant") appeared R. Gregg Hovious, Esq., of the law offices Tachau, Maddox, & Hovious, PLC located in Louisville, Kentucky. For respondents Bear Stearns

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Citicorp Investment Services Name of Respondent Jamie Valinoti 96-03263 REPRESENTATION Claimant Citicorp Investment Service ("Claimant") appeared Lisa F. Smith of Zeichner Ellman & Krause, New York, NY Respondent Jamie Valinoti ("Respondent") attended the first hearing date and represented himself. Respondent did not attend the November 17, 1998 hearing

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Barbara L. Smith, Claimant v. Richard Lee Tidwell and Legend Equities Corporation, Respondents and related Crossclaim Case Number: 00-05146 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Mark Steven Kessler, Esq. Law Offices of Mark Steven Kessler Escondido, California For Respondent Richard Lee Tidwell: Richard Lee Tidwell In Pro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Honigman 96-03262 Name of Respondent A.S. Goldmen & Company, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 30, 1996, claimant Richard Honigman, who appeared Pro Se, alleged that respondent A.S. Goldmen & Company. Inc. ("Goldmen") did not sell his shares in

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Russell W. and Helen L. Stupp 96-03261 Name of Respondents State Capital Markets Corporation Joseph Anthony Monaco REPRESENTATION Claimants Russell W, and Helen L. Stupp ("Claimants") were represented by J. Phillip Kirchner, Esq. and Andrew Babiak, Esq., Plaster, Greenberg, Wallenstein, Roderick, Sp

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Donald Ruff, and Melba Ruff, Claimants, vs. 96-03258 American Investment Services, and Paul "Gene" Palmer, Respondents. Donald Ruff, and Melba Ruff ("Claimants") were represented by Bruce A. Burkey, Esq., of the Taylor Law Offices, Altmont, Illinois. Paul "Gene" Palmer ("Palmer") appeared on his own behalf. American Investment Services (

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Everen Securities, Inc., Claimant and Case Number 96-03254 David W. Cade, Respondent. REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc. was represented by Ronald P. Kane, Esquire and Diane C. Fischer, Esquire of Gomberg, Kane & Fischer, Ltd located in Chicago, IL. Respondent, David W. Cade appe

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Sergio D Hie, M.D. v. Name of Respondent^ Del Mar Financial Services, Inc. Kevin C Dills Philip S Brandon Private Brokers Clearing Corporation Arbitration No. 96-03253 REPRESENTATION For Claimant: T Steven Gregor, Esq. Murphey Law Offices Carlsbad, California For Del Mar Financial Services and Kev

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mark K. Lammers, Claimant, vs. 96-03252 Merrill, Lynch, Pierce, Fenner& Smith, Inc., Respondent. REPRESENTATION OF PARTIES Mark K. Lammers ("Claimant") was represented by Negatu Molla, Esq., of Kimble, Gothreau & Nelson, P.C., Tucson, Arizona. Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented by F. Pendleton Gaines,