Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paul Satterfield and Toy Satterfield Names of the Respondents Whale Securities Co., L.P. n/k/a Bluestone Capital Corp., Evan E. Gappelberg, William George Walters, Donald Joseph O'Connor, William Joseph McSherry and George Karrunkel Case Number: 99-05501 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Agean Group, Inc. Case No. 99-04133 Name of Respondent Stephen Elliot Sokoloff REPRESENTATION OF PARTIES For The Agean Group, Inc. ("Agean") hereinafter referred to as "Claimant": Neil S. Baritz, Esq. of the law firm of Dreir and Baritz, LLP, Boca Raton, Florida. Respondent Stephen Elliot Sokoloff (''Sokoloff"), hereinafter referred to as "Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diane Simmons 94-04147 Name_o.f Respondents Gruntal & Co., [nc. Donald J. Giantonio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1994, Claimant Diane Simmons ("Claimant"), who appeared Pro Se, alleged that Respondent GruntaJ & Co., Inc., through its account executive,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between Name of Claimant(s) Robert & Sandra J. Van Langen 96-02334 Name of Respondent(s) G.R. Phelps & Company, Inc. REPRESENTATION For Claimants Robert & Sandra J. Van Langen ("the Van Langens"): Michael Casey, Esq. of Casey and Molchan, P.A., Ft. Lauderdale, FL. For Respondent G.R. Phelps & Company, Inc. ("G.R. Phelps"): Daniel Schwartz, Esq. of Day.

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Alexander and Andromachy Theoharous Names of Respondents Janney Montgomery Scott, Inc. C. Lance Bailey Case No. 98-04617 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Alexander and Andromachy Theoharous ("Theoharous") hereinafter collectively referred to as "Claimants": Eugene Michael Kennedy, Esq., Fort Lauderdale, Florida. For Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Howard and Eleanor Wisse, Trustees of the Wisse Family Trust, Dated 8/11/83 NASD Arbitration No.92-02584 Name of Respondent(s) M.L. Stem & Co., Inc. For Claimant: Howard Wisse, Woodland Hills, California For Respondent: Paul H. White, M.L. Stem & Co., Inc., Beverly Hills, California CASE INFORMATION Statement of

Award NASD Regulation, Inc. In the Matter of ths Arbitration Between: Bomi M. Zarolig, Sherry ZaroHa, Bern! Zarolia IRA, Sherry Zarolia IRA, the Yaamin Zarolia IRA and Katy Zarolia IRA (Claimants) vs. Morgan Stanley Witter, inc. and Edward H. Savitz, (Respondents). CaseNumber 99-03276 Hearing Site: Houston, Texas REPRESEfATION OF Claimants, Bomi M, 2arolia, Sherry Zaro!ia T Bomi ZaroUa IRA, Sherry IRA» Yasmin Zarolta IRA and Katy Zarolia IRA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Warner C. Lusardi vs. NASD #92-02583 Name of Respondent Randy Schxoeder For Claimant: James A. Testa, Esq. of Testa & Grady, Vista, California For Respondent: Roland C. Colton, Esq. of Colton & Fuller, Del Mar, California CASE INFORMATION Statement of Claim filed: August 4, 1992 Claimant's Submission Agreement signed: May 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTTFS DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Patricia Pinell Name of Respondents) Ben Tidhar NASD Arbitration No. 92-02582 For Claimant: Patricia Pinell, San Francisco, California For Respondent: Janet T. Love, Esq., Dean Witter Reynolds, Inc., San Francisco, California CASE INFORMATION Statement of Claim filed: August 3, 1992 Claimant's Submission Agreemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Raymon and Linda Thomason and Cattle Call. Inc. and 92-02576 Name of Respondent Merrill Lynch. Pierce. Fenner & Smith. Inc. OF PARTIES Claimants Raymon and Linda Thomason and Cattle Call, Inc. were represented by Wayne M. Whitaker. Esq. of Gaudy Michener Swindle & Whitaker, L.L.P., Fort Worth, Texas. Respondent Merril