Award NASD Dispute Resolution In the Matter of the Arbitration Between; Wit Soundview Group, Inc., (Claimant) vs. Cabot Money Management, Inc., (Respondents) Case Number: 01-02831 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wit Soundview Group, Inc., hereinafter referred to as "Claimant": Scott S. Balber, Esq., Chadbourne & Parke LLP, New York, NY (Mr. Balber was with the law Finn of Kelly & Balber LLP, New York, NY, when this c

NASD REGULATION AWARD AFTER REMAND In the Matter of the Arbitration Between Name of Claimant Raymond M. Weinstein 93-04713 Najyie nf Respondents Brokers Exchange, Inc. Anna Marie Rumsey Donald B. Harris Southern Financial Group, Inc. REPRESENTATION For Claimant Raymond M. Weinstein ("claimant' 1 ) appeared Steven Kapustin, Esq., of Heller, Kapustin Gershraan &. Vogel located in Blue Bell, Pennsylvania. For Respondent Brokers

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fa) James S. Weintraub, M.D. Name of Respondent(a 1 PaineWebber Incorporated Jack Noe Ken Blumenfeld Martin Herman NASD Arbitration No. 93-04710 REPRESENTATION For Claimant: James S. Weintraub, M.D., Westlake Village, California For Respondents: Catherine J. Pratt, Incorporated, Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Georgia Johnson vs. 93-04709 Names of Respondents First of Michigan Corporation; Thaddeus M. Mirochna REPRESENTATION For Claimant: Georgia Johnson ("Johnson") of Detroit, Michigan was represented at the hearing by Donald B. Greespon, Esq., of Greespon, Scheff & Washington, P.C., Detroit, Michigan. For Respondents: Fir

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Raymond James & Associates, Inc. 93-04708 Njune of Respondent(s) Robert A. Gist REPRESENTATION For Claimant Raymond James and Associates, Inc. ("Raymond James"): John N. Critchlow, Esq. in-house counsel at Raymond James and Associates, Inc. For Respondent Robert A. Gist: Richard W. Jones, J3sq. of the law firm of Perrie,

JUN.22.1998 10:31flM NflSD REGULfiTION FL N0.220 P.8 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Lorraine Hochman Case No. 93-04703 Names of Respondents Barren Chase Securities Neal Moskowitz REPRESENTATION OF PARTIES For Claimant Donald R. Spadaro, Esq., of the Law Offices of Donald R. Spadaro, Fort Lauderdale, Florida. For Respondent Barren Chase Securities ("BCS"): Eugene Michael K

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between NASD No. 93-4698 DORRIS ASH, individually and on behalf of the DORRIS ASH IRA and the DORRIS ASH IRA ROLLOVER and as the trustee for the J & D ASH ENTERPRISES, INC. PROFIT SHARING PLAN; J & D ASH ENTERPRISES, INC.; JOHN ASH, individually and on behalf of the JOHN G. ASH and the JOHN G. ASH IRA ROLLOVERS, Claimants, v. SUTRO & CO., INCORPORAT

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Mithat Abbak Mithat Abbak as custodian for Yasin Abbak 93-04697 Name of Respondents Brooklyn Capital & Securities Trading Christopher Knight S.D. Cohn and Co., Inc. Elliot, Allen & Co., Inc. n/k/a Duke & Co., Inc. Neidiger, Tucker, Bruner, Inc. Keith Greenberg Edward Maher Stev

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Nasser A. Almwisheer Aziza A. Almoysheer 93-04691 Name of Respondents Jonathan Harbach Christopher Zelesnick REPRESENTATION Claimants Nasser A. Almwisheer ("Almwisheer) and Aziza A. Almoysheer ("Almoysheer") appeared at the hearing pro se. Respondents Jonathan Harbach ("Harbach") and Christopher Zelesnick ("Zelesnick")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nfame of Claimant Isabella Braccia 93-04684 Name of Respondents Shearson Lehman Brothers, Inc. (n/k/a Smith Barney, Inc.) Irwin F. Forman REPRESENTATION For Claimant Isabella Braccia ("Claimant"): Edward Fackenthal, Esq. of the law firm of Henderson, Wetherill, O'Hey & Horsey For Respondent Shearson Lehman Brothers, Inc. ("Shearson") and Ir