NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Lawrence Jarvis, individually, and as Custodian for James L. Jarvis, Carrie A. Jarvis, and Rebecca Jarvis 95-01949 Names of Respondents L.C. Wegard&Co., Inc. Timothy Livingston Leonard B. Greer Daniel F. Petronelli Victor Samaha REPRESENTATION For Claimants Lawrence F. Jarvis ("Jarvis"), individually, and as a Custodian for James L. Jarvis, Ca

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Anne Francavilla Names of Respondents John Slavic Slavic Investment Corporation Case No. 01-00961 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Anne Francavilla ("Francavilla") hereinafter referred to as "Claimant": Albert A. Rapoport, Esq., Boca Raton, Florida. For John Slavic ("Slavic") and Slavic Investment Corporation (

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between William Killebrew Claimant NASD Regulation, Inc. v. No. 95-01943 Kidder Peabody & Co., Inc. Gregory F.Wilbur Respondents REPRESENTATION OF PARTIES William Killebrew ("Claimant") was represented by Lawrence A. Callaghan, Esq., Severson & Werson, San Francisco, California. Kidder Peabody & Co., Incorporated and Gregory F. Wilbur ("Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John W. Dami Case Number: 95-01938 Name of the Kemper Clearing Corp. n/k/a BNY Clearing Services, LLC A.T. Brod & Co., Inc. Arthur Stupay Mark lacono Jugal Taneja Mark Sharboro Hearing .Site: Washington, D.C. RF.PRFSFNTATTON OF PARTTKS Claimant, John W. Dami, hereinafter referred to as "Claimant", was not represented by counsel.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mustak Vohra and Marilyn Pagan 95-01935 Name of Respondents Robert W. Villaflor; Stephen A. Medich; Regal Discount Securities, Inc. REPRESENTATION For Claimants: Mustak Vohra ("Vohra") and Marilyn Pagan ("Pagan") appeared pro se. For Respondent: Stephen A. Medich ("Medich") and Robert A. Villaflor ("Villaflor") appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matte*, of the Arbitration Between Name of Claimant^ Commonwealth Associates 95-01929 Name of Respondents) Salvatore D'Elia REPRESENTATION For Claimant Commonwealth Associates ("Claimant") appeared Allan N. Taffet, Esq. of the fina Paradise & Alberts LLP, located in New York, N.Y. Respondent Salvatore D'Elia ("Respondent") did not enter an appearance in this matter. C^SE IN

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roberta L. Clayton 95-01923 Name of Respondent Fidelity Investments Institutional Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1995, Claimant Roberta L. Clayton ("Claimant"), who appeared Pro Se, alleged that Respondent Fidelity Investments Institutional Services

AWARD AZ. NATIONAL ASSn^ATW OF FreTTRIT F»FAT *pg TXIP In the matter of the Arbitration Between © National Association ci Securities Dealer:. Inc Microware Exceltek, Inc. All Rights Reserveo vs NASD Arbitration No.9503238 Name of Respondent *Hillcrest Financial Corporation Adam Sean Goldstein For Claimant: Daniel J. Modena, Esq., Modena & Royce, South San Francisco, California For Respondent Hillcrest Financial: Michael Present,

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between \ -o / V / Name of Claimant John Morrell 95-03223 Name of Respondents Thomas Hauke Robert Hill REPRESENTATION For Claimant John MorrelJ, IRA ("Claimant"), appeared Frank Anselmo, Esq., a solo practitioner located in Darien, Connecticut. Respondent Thomas Hauke ("Hauke") did not appear at the hearing on the merits. Respondent Robert Hill

01 - ^.0200 NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Wolf Weber 95-03222 Name of Respondents Prudential Securities, Inc. Prudential-Bache Securities (Germany), Inc. Jochen Langhamrner Dieter Lindenberg Ian G. Hassett Alan D. Hogan Leland B. Paton REPRESENTATION For Claimant Wolf Weber ("Claimant") appeared Curt Muller, Esq. of the firm Anwaltskanzlei Michael-Christian Rossn