Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William Dan Gotses, Claimant v. Wells Fargo Securities, Inc., Respondent. Case Number: 98-00469 Hearing Site: San Diego, California REPRESENTATION OF PARTIES Claimant, William Dan Gotses, Esq., hereinafter referred to as "Claimant": Philip M. Aidikoff, Esq., Aidikoff & Uhl, Beverly Hills, California. Respondent, Wells Fargo Securities, Inc., hereinafter referred to as "Respondent": Ro

AWARD NASD Regulation, Inc. George and Jo Bradley Wine, Claimants, and No. 98-00468 Timothy Oliver and Smith Barney, Inc: Respondents, REPRESENTATION Claimants George and Jo Bradley Witte represented themselves. Respondents Timothy Oliver and Smith Barney, Inc. were represented by Etta Gumbs, Esquire of Smith Barney, Inc. CASE INFORMATION The Statement of Claim was filed on or about February 6,1998. Claimants' Submission Agreemen

AWARD NASD'Regulation, Inc Arbitration No. 98-00466 In the matter of the Arbitration Between Name of Claimant(s) Network Capital Corporation Name of Respondent f s) Wilson-Davis & Company, Inc. REPRESENTATION For Claimant: Harold G. Christensen, Esq., Snow, Christensen & Martineau, Salt Lake City, Utah For Respondent: David R. King, Esq., Kruse, Landa & Maycock, L.L.C., Salt Lake City, Utah CASE INFORMATION Statement of Claim

AWARD NASD Regulation, Inc. _ _. In the Matter of the Arbitration Between Name Barry Maletsky and Eugene Beigelman and 98-00465 Name of Respondent WJ. Nolan & Company, Inc. REPRESENTATION OF PARTIES Barry Maletsky and Eugene Beigelman("CIaimants T ') were jeprtsentedby Steven J. Rotunno.Esq., Kubasiak, Crcmieux, Fylstra, Rcizen & ftotunno, P.C., Chicago, Illinois. WJ. Nolan & Company, Inc. ("Respondent 11 ) was represented by

AWARD \ NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Richard S. Johnston, Claimant, " v. No. 98-00462 A.G. Edwards & Sons, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Richard S. Johnston ("Claimant") was represented by Charles P. Kelly, Esq. of Farmington Hills, Michigan. Respondent A.G. Edwards & Sons, Inc. ("Respondent") was represented by William S. Port, Esq, of A.G. Edwards

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ralph and Margherita Alberto, (Claimants) vs. Nori, Hennion, Walsh, Inc. and Vincent M. LePre, (Respondents) Case Number: 00-05453 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Ralph and Margherita Alberto, hereinafter collectively referred to as "Claimants": James M. Porfido, Esq., Fullerton & Porfido, P.A., Succasunna, NJ. Respondent, Nori, Hennio

JftN.24.1999 10:i0flM NO.776 AWARD NASD Regulation, Inc. P. 14 In the Matter of the Arbitration Between Name of Claimant Loretta M. Whalen NASD CASE NO. 98-00461 N Names of Respondents Pennsylvania Merchant Group, Ltd,, David Callan and William B. Fretz REPRESENTATION For Claimant: Robert Dyer, Esq. of Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A., Orlando, Florida. For Respondent Pennsylvania Merchant Group, Ltd. ("PMG")

AWARD. NASD Regulation, Inc. In the Matter, of the Arbitration Between Name of Claimant Tim Ashner and 98-00456 Kansas City, Missouri Name of Respondents Bear Steams & Company Peter Marc Kaufman Marc Alan Luxenberg Salvatore Tacher Kensington Wells Inc. Adam Drew Levy REPRESENTATION OF PARTIES Tim Ashner ("Claimant") was represented by Paul D. Sinclair, Esq., Sinclair, Sawyer, Thompson, Haynes & Cowing, P.C., Kansas City,

fe—_ Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard 0. Weese, Claimant vs. First of Michigan Corp., Respondent. Case Number: 98-455 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, RichardO. Weese ("Claimant"): Joel H. Kaufman, Esq., FarmingtonHills, Michigan. Mr. Kaufman filed an appearance on or about October 4, 1999. Previously Claimant appeared pro se. Respondent, First of Michigan Corp. ("Respon

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between . Names of Claimants = • ' Libro Ferrero Audrey Ferrero 98-00454 Names of Respondents Dean Witter Reynolds, Inc. Herman Harris Held REPRESENTATION For Claimants Libro and Audrey Ferrero: John C. Kelly, Esq. of Ackerman, Link & Sartory, P.A., West Palm Beach, Florida. For Respondents Dean Witter Reynolds, Inc. ("DWR") and Herman Harris Held ("Held"): Joseph C. Co