N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimants Albert Bianco 94-02033 Name of Respondents J.W. Bullard & Co. Inc. Securities Planners, Inc. Mo Silver J. W. Bullard REPRESENTATION For Claimant Albeit Bianco ("Claimant") appeared Dan A. Druz, Esq. a sole practitioner in Sea Girt, NJ. For Respondent Securities Planners, Inc. (Securities Planners) appeared M. David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alan Tassviri vs. 94-02032 Name of Respondents La Jolla Securities Bruce Biddick CASE SUMMARY In a claim filed with the .Rational Association of Securities Dealers, Inc. on June 1, 1994, Claimant Alan Tassviri, through his representative Patrick M. Pessenhelm, Esq. of San Diego, CA, alleged that Respondents La Jolla Securit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cantone Research, Inc., (Claimant) vs. Eugene B. Gulka, (Respondent) Case Number: 01-03145 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cantone Research, Inc., hereinafter referred to as "Claimant": Anthony Cantone, President and Christine Cantone, Vice President, Cantone Research, Inc., Tinton Falls, NJ. Previously represented by: Marc D. Powers, Esq., Parke

AWARD NO. 94-02022 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan Salwen, as trustee Name of Respondents Kidder, Peabody & Co., Incorporated Cashman, Parrel 1 & Associates REPRESENTATION For Claimant Joan Salwen Zaitz, Successor Trustee of the Indenture of Trust of Joseph Salwen, ("Salwen") appeared Richard P. Haaz, Esq., of the law offices of Richard P. Haaz loca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mi-er Shiau 94-02019 Names of Respondents Investors Associates, Inc. Nick Hua REPRESENTATION For Claimant Mi-er Shiau ("Claimant") appeared Jih-Kuei Chang, Esq., a sole practitioner located in Flushing, For Respondent Investors Associates, Inc. ("Investors Associates") appeared Lawrence R. Gelber, Esq. , from the law fi

Case No. 94-02012 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Francis Xavier Poirier Name of Respondents James W. Bullard, Jr. J.W. Bullard & Co. REPRESENTATION For Claimant, Francis Xavier Poirier ("Poirier"), Joshua M. Jaffe, Esq. from the law firm of Singer, Bienstock, Zamansky, Ogele et al located in New York. For Respondent, James W. Bullard, Jr. ("Bullard")

NASD REGULATION, INC AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant MSS LTD Gibraltar 94-02011 Name of Respondents J.W. Bullard&Co. Inc. Cantella & Co. Inc. James W. Bullard Moshe Silver REPRESENTATION For Claimants MSS LTD Gibraltar ("MSS") and Zbiegniew Mazurek ("Mazurek")(collectively, "Claimants") appeared Jamie C. Rosenberg, Esq., of the law firm, Rosenberg, Singer & Bienbnstock.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Brandt FBO Stephen T. Brandt 94-02010 Name of Respondents Richard Banach North Shore Financial Planning CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 31, 1994, Claimant Stephen Brandt, who appeared Pro Se, alleged that Respondents Richard Banach ("Banach") and North S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bruce & Colleen Landy 94-02002 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc For Claimants, Bruce and Colleen Landy ("Landy"): Pro Ss. For Respondent, Merrill -Lynch Pierce Fenner & Smith, Inc. ("MLPFS"): Tracey L. Gerber, Esq. of Gunster Yoakley, Valdes-Fauli & Stewart, West Palm Beach, Florida. CASE INFORMATION

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Matrix Engineering, Inc. and 94-02001 Name of Respondent Stratton Oakmont, Inc. Risa Steinberg REPRESENTATION OF PARTIES Matrix Engineering, Inc. ("Claimant") was represented by Alyse I. Lasser, Esq., WMX Technologies, Inc., Oak Brook, Illinois and James D. Adducci, Esq., Schuyler, Roche & Zwirner, Chicago; Illinois.