AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Claimant/Counterclaim Respondent MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. NASD Regulation, Inc. v. No. 96-02703 Respondent/Counterclaimant JENNIFER M. MITCHELL REPRESENTATION OF PARTIES Claimant/Counterclaim Respondent, McLaughlin Piven Vogel Securities, Inc. was represented by Thomas Loder, Esquire and Joseph Dougherty, Esquire, of Rubin

N.A.S.D. REGULATION. INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, CSC. In the Matter of the Arbitration Between Name,of Claimants William T. and Grace R. Finlayson 96-02700 Name of Respondents Invest Financial Corp. Katrina Bowers REPRESENTATION utive For claimants William T. and Grace R. Finlayson ("claimants") appeared their represemativ Nicholas Bakatsas, Esq. a sole practitioner located in Marietta, Georgia. - ^

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name L.H- Carpenter & Caiol C. Hipp 96-02698 Name of Respondents Edward D. Jones & Co. Christopher Palladino REPRESENTATION Claimants L.H, Carpenter ("Carpenter") and Carol C, Hipp ("Hipp") were represented by William L. Mills, III, Esq., The Mills Law Firm, Concord, NC, Respondents Edward D. Jones & Co. ("Jones

BEFORE NASD REGULATION, INC. In the Matter of the Arbitration Between GERALD TURNER and AUDREY TURNER, Claimants, and No. 96-2696 MICHAEL SCLAFANI and GREENWAY CAPITAL CORPORATION, Respondents. STIPULATED AWARD Representation Claimants appeared pro se. Respondent Michael Sclafani was represented by Daniel J. Dugan, Esq. Respondent Greenway Capital Corporation was not represented, did not participate and is not a party to this Stipula

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Puma Del Mar International, Ltd. Case No. and - 9 6 - 0 2 6 9 1 Name of Respondent ij^Schonfeld Securities, Inc. Vista Securities, Inc. Vincent Landano Michael Walters Robert Yadegar REPRESENTATION QF PARTIES •Puma-Del Mar International, Ltd. ("Claimant") was represented by Eric J. Sus&man; Esq.-located in

F if AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jerry Gronsman, Claimant, and No. 96-02689 Centennial Securities Co., Inc., and William C. Alsover, Jr. Respondents. ~ REPRESENTATION OF PARTIES Claimant Jerry Gronsman ("Claimant") was represented by Susan Klooz, Esq. and Mark H. Venvgs, Esq. of Pulnkett & Cooney, P.C. located in Grand Rapids, Michigan. Respondents Centennial S

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between David Blom, Claimant, and No. 96-02687 Prudential Securities, Inc., and William Mark, Respondents. REPRESENTATION OF PARTIES • Claimant David Blom ("Claimant 1 *) was represented by Mark E. Sanders, Esq. of Hailing & Cayo, S.C. located in Milwaukee, Wisconsin. ^- Respondent Prudential Securities, Inc. ("PSI") was represented by G

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alvin Blick 96-02684 Name of Respondents Stratton Oakmont, Inc.; Paul N. Sewcharran; Daniel M. Porush; Jordan I. Shamah; Andrew T. Greene; Paul F. Byrne; Mathias V. Tiffert; and Leonard Dunn REPRESENTATION For Claimant: Alvin Blick ("Blick") was represented by Linda C. Frazier, E

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Roshan Pourhaghighat v. Name of Respondent Prudential Insurance Company of America Arbitration No. 96-02683 REPRESENTATION For Claimant: For Respondent: Michael A. Kale, Esq. Michael A. Kale, P.C. Los Angeles, California Michael P. Calof, Esq. Law Office of Michael P. Calof, Inc. Woodland Hills, Cali

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan M. Kenny, Claimant v. James Vernale, Fidelity Brokerage Services, Inc. and John A. Klobe, Respondents Case Number: 01*02126 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Law Offices of James Jay Seltzer Emeryville, California For Resp