AWARD NASD Regulation, Inc Arbitration No. 98-00073 In the matter of the Arbitration Between Name of Claimantfs) Norman VanEpps Name of Respondent(s) Nationwide Investment Services Corporation REPRESENTATION For Claimant: Norman VanEpps, Enumclaw, Washington For Respondent: Barbara J. Shane, Nationwide Investment Services Corporation, Columbus, Ohio CASE INFORMATION Statement of Claim filed: January 6, 1998 Additional submiss

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Paul W. Melmon v. Dakin Securities Corporation Robert Boyer Hutchinson For Claimant: REPRESENTATION Brian L. Zagon, Esq. Keesal, Young & Logan San Francisco, California For Respondent Dakin Securities: Anthony M Englese, Esq. San Francisco, California For Respondent Robert Hutchinson: No Appearance Arbi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph and Karen Soderberg, Claimants v. Maidstone Financial, John Michael Palermo, and Briarwood Investment Counsel/Michael Scott and Co., Respondents. Case Number: 98-00070 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: For Respondent, Briarwood Investment Counsel/ Michael Scott and Co.: For Respondent John Michael Palermo: Joseph Soderberg

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Elizabeth Beisner vs. Case No. 98-00068 Names of Respondents Westrock Advisors, Inc. Greg Martino REPRESENTATION Claimant Elizabeth Beisner ("Claimant") appeared pro se. For Respondents Westrock Advisors, Inc. ("Westrock") and Greg Martino ("Martino") (collectively "Respondents") appeared Robert A. Giacovas, Esq. of the law firm of Lazare Potter

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00066 Frank Saitta, claimant vs. ChaseMellon Shareholder Services and Smith Barney, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - San Jose, CA. For respondent Smith Barney Inc., appeared Ann Parry, Esq., - New York, NY., For respondent ChaseMellon Shareholder Services appeared Hugh Ross, Esq., - Ridgefield Park, NJ. DATE FILED: 1/7/98 CASE SUMMARY: Claimant alleged failure to execute. Cl

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Alexander Egger Ivy Egger vs. Case No. 98-00065 Name of Respondents Victor Perri L.T, Lawrence Securities Corp. REPRESENTATION For Claimants Alexander Egger ("Egger") and Ivy Egger (collectively "Claimants") appeared Hayward Richard Pressman, Esq. of the firm Pressman & Associates, located in New York, New York. For Respondent Victor Perri

N.A.S.D. REGULATION, INC. AWARD CASE:98-0061 Cedric M. Swirsky, claimant vs. Todd M. Ficeto, respondent. ATTORNEYS: Claimant appeared Pro Se. - Launa Neguel, CA. For respondent appeared H. Thomas Fehn, Esq., Los Angeles, CA. DATE FILED: 1/6/98 CASE SUMMARY: Claimant alleged failure to pay commissions and compensation. Claim Data Award Data Claim: $4,228.84 Award: $.00 Interest: Requested Interest: $.00 Filing Fees: $.00 Filing Fees: $.00

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00058 Phillip Mazziotta, claimant vs. A.S. Goldmen & Co., respondent. ATTORNEYS: Claimant appeared Pro Se. - Ramsey, NJ. For respondent appeared Carole R. Bernstein, Esq., Norwalk, CT. DATE FILED: 1/6/98 CASE SUMMARY: Claimant alleged account negligence and failure to supervise. Claim Data Award Data Claim: $3,000.00 Award: $3,000.00 Filing Fee: $.00 Filing Fee: $125.00 Other: $.00 Other: $.00 A

Award NASD In the Matter of the Arbitration Between: Jay C. Mallory, Claimant v. Sharpe Capital, Inc. and Daniel William Bustamonti, Respondents Case Number: 01-01749 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Jay C. Mallory, hereinafter referred to as "Claimant": Michael J. McCluskey, Esq., Warner, Fox, Wackeen, Dungey, Seeley, Sweet & Bear, L.L.P., Stuart, FL. For Sharpe Capital, Inc. ("SCI") and Daniel William Bustamonti ("Bustam

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Solomon and Leah Werzberger Case No. vs. 98-00057 Name of Respondents Salomon Smith Barney, Inc. and Ivan H. Norman REPRESENTATION Claimants Solomon Werzberger ("Mr. Werzberger") and Leah Werzberger ("Mrs. Werzberger") (collectively "Claimants"), appeared pro se and are located in Monsey, New York. Respondents Salomon Smith Barney, Inc. ("Smith Barney"