N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mildred Zaslovsky, Carol Zaslovsky Rosenberg and Michelle Rosenberg NASD CASE NO. 96-03454 Name of Respondents Raymond James & Associates, Inc., Advest, Inc. and William K. Bunn REPRESENTATION For Claimants: Robert Dyer, Esq. of Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A., Orlando, Florida. For Respondents Advest,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Myrick Family Trust and 96-03451 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Myrick Family Trust ("Claimant") was represented by Thomas J. Herd, Esq., Gaddis, Kin & Herd, P.C., Colorado Springs, Colorado. Prudential Securities, Inc. ("Respondent") was represented by Charles B. LaChaussee, Esq., P

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Earl C. Townsend Claimant, and No. 96-03450 ^National City Bank, Indiana and National City Trust Respondents. REPRESENTATION OF PARTIES Claimant, Earl C. Townsend, Esquire of Indianapolis, Indiana, represented himself'during these proceedings. -'ee< H; Respondents, National City Bank, Indiana, and National City Trust were represented by'Hairy Joh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation 96-03442 Name of Respondent Todd W. Hedge REPRESENTATION For Claimant Paragon Capital Corporation ("Paragon"): Mitchell T. McRae, Esq. of Boca Raton, Florida. The Respondent Todd Hedge ("Hedge") appeared pro se (see "Other Issues"). CASE INFORMATION Statement of Claim filed: August 6, 1996.

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants') Larry Precipuo 96-03439 Name of Respondent(s) Josephthal Lyon & Ross Inc. Edward Knauer REPRESENTATION For Claimant Larry Precipuo ("Precipuo"): Delmer C. Gowing III, Esq. of Delmer C. Go wing III, P.A., Delray Beach, Florida. For Respondents Josephthal Lyon & Ross Inc. ("Josephthal") and Edward Knauer ("Knauer"): Robert Mur

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05156 Winnie Mok, claimant vs. Citicorp Investment Services, respondent. ATTORNEYS: Claimant appeared Pro Se, New York, NY. For Respondents appeared Jennifer Newman Sendor, Esq., in-house counsel, Long Island City, NY. DATE FILED: November 21, 2000 CASE SUMMARY: Claimant alleged that respondent placed an unauthorized sell-out order for 500 shares of Bighub.Com, Inc. Claim Da

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Theodore F. Meves, Claimant, v. No. 96-03429 First Midwest Securities, Inc. f/k/a Ablestrong Securities, Inc., and The Investment Center, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Theodore F. Meves ("Claimant") was represented by John C. Kelly, Esq. and Scott J. Link, Esq. of Ackerman, Link & Sartory, P.A. located in West Palm Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara and Leonard Weissman Leonard Weissman Revocable Trust 96-03424 Name of Respondent Golden Harris Capital Group CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 9, 1996, claimants Barbara Weissman and Leonard Weissman individually and as Trustee on behalf of the Leonar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy R. Magee 96-03420 Name of Respondent Nationwide Financial Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1996, claimant Dorothy R. Magee ("claimant"), who appeared Pro Se and acting under Power of Attorney for her mother, Dorothy R. Magee, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 96-03417 Name of Respondent John Bruggman For Claimant Prudential Securities, Inc. ("Prudential") appeared Peter von Maur, Esq., in house counsel for Prudential Securities, Inc. located in New York, New York. For Respondents Invest Financial Corp. ("Invest") and John Bruggman ("Bruggman") appeared George