NASD Dispute Resolution Arbitration No. 01-00731 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cori R. Bland, (Claimant) v. Goldman, Sachs & Company, (Respondent) Case Number: 01-00731 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cori R. Bland, hereinafter referred to as "Claimant" appeared pro se. Respondent, Goldman, Sachs and Company, hereinafter referred to as "Respondent"

NASD DISPUTE RESOLUTION AWARD NASDDISPUTE BESOmnON. INC. _ __ CASH; 00-00644 Mark Van Mourick, claimant vs. H. Beck, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Dana Point, CA. Claimant was formerly represented by William M. Turner, Esq~ of the firm Jones, Bell, Abbott, Hemming & Fitzgerald, LLP. For Respondent appeared iut-house counsel Gary S. Hurvitz, Rockviile. MD- DATE FILED: February 11, 2000 CASE SUMMARY: Claimant alleged that res

:i.A.S.C. AWARD :IATIONAL ASSOCIATION OF SECURITIES 3EALEKS In tr.e Matter of tr.e Arritra_i~r. 3ec^eer. Mame of Claimanrfqi Molly Benani Seigel 91-00535 Sacks Investment Company Inc. Richard Sacks Melvyn Richard Simons >5olly Benard Seigal was represented by Michael Seiqal. Ricnard Sacks represented himself and" Sacks Investment :-telvyn Richard Simons represented himself. Tins matter was initiated by a Statsnent :f Claim files --/ith ~

N.A.S.D. ANARD NKTICMAL ASSOCTXnCN OF SECURITIES DEM£RS In the Matter of the Arbitration Between Q£ L. John Lewis vs. NASD #91-00533 Name of Reaprmflpnts First Eagle, Inc. Joazmie Merwyn For Claimant: Raoda_i.l N. Skanchy, Esq., of Jones, Waldo, Holbrook & MdDoncugh, Salt late City, Utah. For Respondent (First Eagle) : Barry W. Partner, Denver, Colorado. For Respondent CMerwyn) : J. Merwyn pro se. Statonent of Claim filed: February 1

N.A.S.D. AWARD ASSOCTATICN OF SECQRXTIES In the Matter of the Arbitration Between Name of Claimant ^^^^^BBSSSS^=^^K^KB Dean Securities, a Washington Partnership NASD Arbitratiott No, 91-00532 Name of Respondents Thomas 6. Nauman g™^ Kl&ley M. Nauman, wife, anf * frVift4T» marital community; and Alfred 6. Nauman and Evelyn F. Nauman, -mar-if-al For Clainant: Michael R, Scott, Esq., Hlllis Clarfc Martin & Peterson, F.S.

NATIONAL ASSOCIATION OF^SECURITIES DEALERS? INC. In the Matter of the Arbitration Between Christopher J. McDonald Claimant vs. PaineWebber, Inc. Charles Verner Respondents CASE #91-00528 AWARD CASE SUMMARY Pro Se Claimant, Christopher J. McDonald, in a claim filed with the National Association of Securities Dealers, Inc. on February 19, 1991, alleged that Respondent Charles Verner at PaineWebber, Inc. in Lauderdale-by-the-Sea, Fl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Rnancial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Frank A. Ciaramitaro Trust, et al. vs. Name of Invest Financial Corp. ISFA Corp. Case # 91-00527 For Claimant: William M. Dolan III, Esq. of Brown Rudnick Freed & Gesmer. For R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Schwartz 91-00525 Name of Respondents Prudential Securities. Inc. Joseph Morris REPRESENTATION Claimant Steven Schwartz ("Claimant") was represented by: Brian Shaughnessey, Esq. of Shaughnessey, Browski and Gagner. Respondent Prudential Securities. Inc. ("Prudential") and Joseph Morris ("Morris") were represented

7VASO iAigiDi AMftRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between"" Name of Claimantfs) Joseph S. & Alyce H. Esrig Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 91-00522 Name of Respondent(s) Otra Clearing, Inc. Dino Liso J.F. Lowe & Co. Claimants, Joseph S. & Alyce H. Esrig, appeared pro se. Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pamela J. Leavitt, (Claimant) vs. Cantone Research, Inc., Anthony J. Cantone, Christine L. Cantone, (Respondents) Case Number: 01-00728 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Pamela Leavitt ("Claimant"): Robert S. Moraff, Esq., Robert S. Moraff, PC, Bloomfield, NJ. Respondents, Cantone Research, Inc. ("Cantone Research"), Anthony J. Cantone ("