Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riaimant David M. Weiss Name of the ResprmrierrK PNC Capital Markets, Inc., and The PNC Financial Services Group, Inc. Case Number 01-02236 Hearing Site- Pittsburgh, Pennsylvania RFPRFSFNTATTON OF PARTTFS Claimant David M. Weiss, hereinafter collectively referred to as "Claimant", was represented by Jeffery L. Liddle, Esq., Liddle & Robinson, L.L.P., New

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Dorothea M. Hague Case No. vs. 96-05219 Name of Respondents Vincent Grucci and Matthew Leo REPRESENTATION For Claimant Dorothea M. Hague ("Claimant"), Herbert M. Deutsch, Esq. from the law firm of Deutsch & Lipner located in Garden City, New York. For Respondent Vincent Grucci ("Grucci"), James J. Carroll, P.C. located in Beilport, New York until on

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Jacques de Saint Phalle Case No. vs. 96-05214 Name of Respondent BT Securities Corporation For Claimant Jacques de Saint Phalle ("Claimant") appeared Daniel A, Pollack, Esq., of the firm Pollack & Kaminsky with offices located in New York, New York. For Respondent BT Securities Corporation ("Respondent") appeared Kenneth Turnbul

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Allan McCulloch and 96-05213 Name of Respondent T.L. Group, Inc. Anthony Leone REPRESENTATION OF PARTIES Allan McCulloch ("Claimant") was represented by Frank Abramson, Esq., Lapp> Luriej < Li Abramson & Thomson, Minneapolis, Minnesota, i ;on r> \-\ tX. Group, Inc. ("Respondent T.L. Group") was represented by Fred Lefevre, it

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05211 Gaile Canfield, claimant vs. Nations Securities and Beth A. Mayberry, respondents. ATTORNEYS: Claimant appeared Pro Se, Sarasota, FL. For Respondents appeared Richard B. Warren, Esq., of the firm Kelley, Aldrich & Warren, P.A., West Palm Beach, FL. DATE FILED: November 22, 1996. CASE SUMMARY: Claimant alleged that respondents recommended "round trip"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant MJ. Whitman, Inc. 96-05205 Name of Respondent Brian Bornstein REPRESENTATION For claimant MJ. Whitman , Inc. ("claimant") appeared its representative and in-house counsel, Ian G. Kirschner, Esq. Respondent Brian Bornstein ("respondent") appeared Pro Se. CASE INFORMATION Statement of Claim fil

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05202 Casey Karry, claimant vs. Bishop Allen, Inc. and Elie Mellul, respondents. ATTORNEYS: Claimant appeared Pro Se - New York, NY. Respondents appeared Pro Se, through their President Elie Mellul - New York, NY. DATE FILED: November 21, 1996 CASE SUMMARY: Claimant alleged that respondents failed to pay commissions/bonus according to the terms of the empl

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Raymond M, Weinstein 96-05198 Name of Respondents Josephthal Lyon & Ross, Inc. Michael Magno Dennis W. Burke REPRESENTATION For Claimant Raymond M. Weinstein ("Claimant"), Steven Kapustin, Esq. of counsel to the law fitm of Bland & Arndt, L.L.P., located in Columbia, South Carolina For Respondents Josephthal Lyon & Ross, Inc. (

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Lloyd F. and Patsy Wood 96-05196 Name of Respondents Sovereign Equity Management Peter V. Palmeri Vincent Albanese Jeffrey Adam Lefkowitz REPRESENTATION Claimants Lloyd F. and Patsy Wood ("Claimants") were represented by David B. Franzen, Esq., Fell, Pettit & Williams, Charlottesville, VA.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05195 Olde Discount Corporation, claimant vs. William Bolton, respondent. ATTORNEYS: For Claimant appeared in-house counsel Robert S. Anderson, Esq., Detroit, MI. Respondent appeared Pro Se, Staten Island, NY. DATE FILED: November 21, 1996 CASE SUMMARY: Claimant alleged that respondent failed to pay for executed stock purchase orders which resulted in a de