09/17/2003 11:48 FAX NASD 1^002/005 Award NASD Dispute Resolution, Inc. In the Matter of tiwj Arbitration Between: ; j i David A. Nelson, els Trustee for the Bettys K, Sopher Trust, (Claimant) v. and Vanguard Marketing Corporation d/b/a Vanguard Brokerage Services, (Respondent) Case Number 01-dll92 ' Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant David A. Nelson, as Trustee for the Bettye K, Sopher Trust (""N

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Names of Claimants Jeanette Friedman Edria Wilt Christopher Wilt 96-01318 Names of Respondents Prudential Securities, Inc. REPRESENTATION For Claimants Jeanette Friedman ("Friedman"), Edria Wilt ("E. Wilt") and Christoper Wilt ("C. Wilt"), hereinafter collectively referred to as "Claimants/ appeared Marianna E. Specter. Esq. of the firm Duff

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred J. Vollmer Josephine J, Vollmer 96-01317 Name of Respondents Paul Eberz Associates, Inc. Paul M. Eberz Investacorp, Inc. CASE SUMMARY In a claim Hied with the National Association of Securities Dealers Regulation, Inc. on March 25, 1996, claimants Fred J. Vollmer and Josephine J. Vollmer ("claimants") through thei

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Manuel C. and Lucille Pragana (Claimants) vs. USLife Equity Sales Corp, Gary Ferone, First Hanover Securities, Inc. (nka LCP Capital Corp.), Salvatore A. Martorano (Respondents); and USLife Equity Sales Corp. (Cross-Claimant) vs. First Hanover Securities, Inc. (nka LCP Capital Corp.) and Salvatore A. Martorano (Cross-Respondents) Case Number: 96-01316 MASTER CASE Hearing Site: New York, N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Louis J. Ventura, (Claimant) vs. PaineWebber, Inc., (Respondent) Case Number: 96-01312 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Louis J. Ventura, hereinafter referred to as "Claimant* 1 : James A. Batson, Esq., Liddle & Robinson, New York, NY. Respondent, PaineWebber, Inc., hereinafter referred to as "Respondent": Martin D. Edel, Esq., Miller & Wrubel

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Milan L. Obradovich 96-01311 » Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant Milan L. Obradavich ("Claimant") appeared Terrence P. Tormey, Esq., Hazlet, New Jersey. For Respondent Fidelity Brokerage Services, Inc. ("Respondent") appeared Michael G, Shannon, Esq. of Phillips, Lytle, Hitchcock,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John H .Sparkman, Esq. Claimant, v. No.96-01308 . Rimson & Co., Inc., and Elliot Fishman, Respondents. REPRESENTATION OF PARTIES Claimant John H.Sparkman, Esq. was represented pro se. Respondent M. Rimson & Co., Inc. was not represented in any pleadings or at the hearing in this matter. ^ Respondent Elliot Fishman was not represented in

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name pf Claimant DGW Services, Inc. 96-01307 Name of Respondent Equity Services Inc. Stephen A. Englese REPRESENTATION For claimant DGW Services, Inc. ("claimant") appeared Floyd Brown, Esq.. of the law firm of Brown and Pearson, P.C., located in Carlsbad, California. For respondents Equity Services, Inc. ("ES

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant(s) Robert E. & Peggy L. Muldrow 96-01306 Name of Respondent(s) World Invest Corporation Michael Hardman REPRESENTATION For Claimants Robert and Peggy Muldrow ("the Muldrows"): Floyd Brown, Esq. of Brown & Pearson, P. C., Carlsbad, CA. For Respondent World Invest Corporation ("World Invest"): William Sumner Scott, Esq. of The Scott Law Firm, Hollywood, FL. Willia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Sharon Robinett v. Name of Respondents Croweil, Weedon, & Co. and Ronald Van Der Veen NASD Arbitration No.96-01301 REPRESENTATION For Claimant: For Respondent Croweil, Weedon & Co.: For Respondent Ronald Van Der Veen: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: