AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Thomas Bright and Karen Bright, and Thomas Bright, IRA, Claimants, and No. 96-03010 Nichols, Safina, Lerner & Co., Steven lannuzzi, Respondents, REPRESENTATION OF PARTIES Claimants Thomas Bright and Karen Bright, and Thomas Bright, IRA were represented by Steven J. Card, Esquire of Page & Bacek located in Atlanta Georgia. Respondents Nichols, Sa

NASD REGULATION, INC. STIPULATED AWARD In the Matter of the Arbitration Between Name of Claimants David Velinsky 96-03009 i Name of Respondents NatWest Investor Services Corp. REPRESENTATION For claimant David Velinsky ("claimant") appeared Morgan W. Bentley, Esq. with law offices in Newark, New Jersey. For respondent NatWest Investor Services Corp. ("respondent") appeared Mark S. Mancher of the law offices Jackson, Lewis, Schnitzler & K

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of_Claimant First Cambridge Securities Corporation 96-03002 Name of Respondent Howard Silverman REPRESENTATION For Claimant, First Cambridge Securities Corporation ("Claimant"), appeared Donna R. Shahrabani, Esq., of the law firm Anderson & Rottenberg located in New York, New York. Respondent, Howard Silverman ("Respondent"), appeared Pro Se.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-02999 J.W. Charles Securities Inc., claimant v. Michael Kalfa, respondent. ATTORNEYS: For Claimant appeared Gregory Tendrich, Esq. - Boca Raton, FL. Respondent did not appear. DATE FILED: 7/12/96 CASE SUMMARY: Claimant alleged respondent failed to pay a promissory note. Claim Data Claim: $4,000.00 Interest: 12% per annum until paid Punitive: $.

Arbitration & Mediation National AswKwtion of Securities Dealers,Inc. * NASD Financial Center * 33 Whitehall Street * New York,NY 10004 * Fax 2I2-858-442*) Washington DC Satellite office at: 1735 K Street. NW * Washington. DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin R. and Dorothy A. Jenks as Co-trustees for the Edwin R. and Dorothy A. Jenks Trust

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Samuel P. Chiancola Trustee/Rev. Trust 96-02993 Name of Respondents A.S. Goldmen & Company, Inc. Vincent Caracciolo REPRESENTATION For Claimant The Samuel P. Chiancola Revocable Trust ("claimant") appeared Samuel P. Chiancola, trustee of claimant. However, at the hearing conducted on April 18, 1997, on behalf of claimant, appeared Ann Pauly, Esq., of the law offi

NASD REGULATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Jeffrey Keith Trilling Daniel Eugene Boyd 96-02992 Name of Respondents La Jolla Capital Corporation Harold Bailey Gallison Gregory Hilsenrath Michael £. Dudley REPRESENTATION Claimants Jeffrey Keith Trilling and Daniel Eugene Boyd (jointly referred to as "Claimants") "were, represented by Morris L,

STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolutio.ru, In the Matter of the Arbitration Between Brian J. Tanner Claimant, v. No. 96-02986 Biltmore Securities, Inc., Monroe Parker Securities, Inc., Richard B, Bronson, John P. Clancy, Michael B. Goldberg, Bryan Jay Herman, Alan S. Lipsky, and Elliot A. Loewenstern Respondents. REPRESENTATION OF PARTIES Claimant Brian J. Tanner ("Claimant") was represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05119 Seaboard Securities, Inc., claimant vs. Richard Knuth, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Jay Marc Israel, Esq. Respondent did not respond to the Statement of Claim. DATE FILED: November 20, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay funds advanced to him to cover employment costs. Claim Data Award Data Claim: $6,61

SEP. 3.1998 li:Z0flM NASD REGULATION FL . NO.704 P.2 N.A.S.1). AWARD NATIONAL ASSOCIATION OF SEPOMHES DEALERS In the Matter of the Aibitratioja Between Mama Katbiyn B. Moser, individually and as Trustee of the Kathryn B. Moser Revocable Living Trust 96-029S1 f ^ eH pondents CarlW.AJlen, Jr. Barren Chase Securities, IDC. REPRJ^SENTATION For Claimant: Richard R. Logsdon, Esq, of Richard R. Logadon, PA, Qearwater, Florida, F