N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Lorraine Ribaudo Thomas J. Pettenato Michael Pettenato The GSL Corporation 96-03595 Name of Respondents Advest, Inc. Michael Doherty REPRESENTATION For claimants Lorraine Ribaudo ("Ribaudo"), Thomas J. Pettenato ("T. Pettenato"), Michael Pettenato ("M. Pettenato"), and The GSL Corporatio

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05161 Fidelity Brokerage Services, Inc., Claimant vs. Andy Pham, Respondent. ATTORNEYS; For Claimant, Fidelity Brokerage Services, Inc. ("Claimant"), appeared Laurence K. Richmond of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent, Andy Pham, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: November 21, 2000 CASE SUMMARY: Claimant alle

N.A,S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In rhe Matter of the Arbitration Between Name of Claimants Murphey and Dorothy Dare Name of Respondents A.S. Goldmen & Company, Inc. John Sacco CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 20, 1996 claimants Murphey and Dorothy Dare ("claimants") who appeared Pro Se, alleged that respondents A.S Goldmen & Company, Inc. ("

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Anne Feustle Lappe 96-03592 Name of Respondents First Investors Corporation Francis Xavier Baird REPRESENTATION Claimant Anne Feustle Lappe ("Claimant") was represented by Manha J. Lappe, Towson, MD. Respondents First Investors Corporation ("FIC") and Francis Xavier Baird ("Baird") were represented

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Vernon C. Nicolson 96-03590 Name of Respondents Salvatore Valente L.T. Lawrence & Co, Inc. REPRESENTATION Claimant Vernon C. Nicolson ("claimant") appeared pro se. For respondent Salvatore Valente ("Valente") appeared Christine Cole, Esq., of the law offices Slater and Cole, LLP located in New York, New York. For respondent L.T, Lawrence & Co., Inc ("LTL") ap

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Daniel Schmitz, Executor of The Estate of Morris Schmitz, and Robert Jurgensmeyer Claimants, vs CONSOLIDATED Case Nos. 96-03581 Vision Investment Group, Inc. and 96-04119 Cantella & Co., Inc., Cantella Management Corp., Vincent Cantella, Michael Corulla, Paul Caruso, Kevin Scott Horn, Gerald Powers, and i rv

SENT BY: 6-14-93 ;ll:37AM ;NASD ARBITRATION DPT- 12122087581;# 8/31 REQUIATTON. INC.. OFFICE OF DISPTTPE RESQLtTTIOM In che matter of the Arbitration Between Name of Claimant(a1 Henry Koch Arbitration NO. 96-03577 of Reapfinrtent: fsi A.G. Edwards & Sons, Inc. John Herman REPRESENTATION For Claimant: Arthur S. Leider, Investors Arbitration Specialists, Inc., San Diego, California For Respondents: Jeff Jamieson, Esq., A.G. Edw

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-03570 Pentz Revocable Living Trust, claimant v. Lew Lieberbaum & Co., Inc., Ronald B. Dorushkin and Elliot Gayer, respondents. ATTORNEYS: For Claimant Through it's trustee, Northport Beach, CA. For Respondents Lawrence Sandor, Esq., Garden City, NY. DATE FILED: August 19, 1996 CASE SUMMARY: Claimant alleged failure to execute sell order for stock a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Muriel Converse, as Trustee of Market Research Associates, Inc. Retirement Trust 96-03568 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 19, 1996, claimant Muriel Converse, as Trustee of Market Research Asso

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Jack and Betty Mason, Trustees for the Mason Living Trust Claimants, and Securities Service Network, Inc., Summit Brokerage Services, Inc. and Richard L. Parker Respondents. Case No. 96-03566 REPRESENTATION OF PARTIES Claimants, Jack and Betty Mason, Trustees for the Mason Living Trust ("Mason"), was represented by Richard C. Downing, Es