Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas Mott, (Claimant), vs. Finn-Atlantic Securities, Inc., S.G. Martin Securities, LLC, and Mark Edward Goldstein, (Respondents) Case No. 00-04624 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Douglas Mott, hereinafter referred to as "Claimant": John J. Chester, Jr., Esq., Chester, Willcox & Saxbe, LLP, Columbus, OH. Respondent, S.G. Martin Securities, LLC

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daniel P. Bradley, and V. Suzanne Bradley, Claimants, v. No. 95-01244 Olde Discount Corporation, and Tony Gioco, Respondents. REPRESENTATION OF PARTIES Daniel P. Bradley, and V. Suzanne Bradley ("Claimants") appeared on their own behalf. Olde Discount Corporation, and Tony Gioco ("Respondents 11 ) were represented by Amy Kurt

/ /•' J AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between , , s , , . Name of Claimant Jacinto Vasquez 95-01243 Names of Respondents Bear Steams &. Company, Inc. Philip Cason Connell Thomas M. Pearce, Jr. Floyd K. Berger Fred Steven Ginsberg REPRESENTATION For Claimant Jacinto Vasquez ("Vasquez"): Michael A. Hanzman, Esq. of Hanzman, Criden, Korge & :

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jackson Bard vs. NASD Arbitration No.95-01239 Name of Respondent Smith Barney, Inc. Paul Massan REPRESENTATION For Claimant: Stuart L. Carroll, Esq., Los Angeles, California. For Respondent: Lauren N. Schwake, Esq., Keesal, Young & Logan, Long Beach, California CASE; INFORMATION Statement of Claim filed: March

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mahmood Shariff & Ann E. Shariff 95-01235 Name of Respondent Pacific Brokerage Services Inc. REPRESENTATION Mahmood Shariff and Ann E. Shariff ("Claimants") appeared pro se Pacific Brokerage Services, Inc. ("Respondent") was represented by James R. Kruger, Compliance Officer, Pacific Brokerage Services, Inc., Los Angeles,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Betsy C. Shelton 95-01233 Name of Respondent^ Henderson Capital Partners, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1995 Claimant -Betsy C. Shelton, who appeared Pro Se, alleged that Respondent Henderson Capital Partners, Inc. has failed to pay monies owed to her

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Glen Barlow 95-01232 Name of Respondent Andre Gurt REPRESENTATION Claimant Glen Barlow ("Claimant") was represented by Elliot Alan Kolodny, Esq., Groen Leveson Goldberg & Rubenstone, Bensalem, PA Respondent Andre Gurt ("Respondent") did not appear CASE INFORMATION The Statement of Claim was filed March 9, 1995 Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant Francis X. Gormley, Sr., CFO Stephen, Sean and Alexander Gormley 95-01230 Name of Respondents Prudential Securities Inc. Carolann Doherty Brown •% .f REPRESENTATION Claimant Francis X. Gormley, CFO Stephen, Sean and Alexander Gormley ("Claimant") appeared pro se Respondents Prudential Securities, Inc. ("Prudential")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Cilecek CASE NO. 95-01223 Name of Respondents Raymond, James & Associates, Inc. Jeffrey J. Kartheiser REPRESENTATION For Claimant, Joseph Cilecek ("Cilecek"): Norman Meyers, Esq. of Meyers & Bierkan, P. A. of Sun City, Florida. For Respondents, Raymond, James & Associates, Inc., ("Raymond James") and Jefffrey J.

RECEIVED NASD REGULATION, INC. MAR n 7 OFFICE OF DISPUTE RESOLUTION nMK ARBITRATION AWARD " USD-AfitfllftAJifiN MEDIATION NASD REGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants MAR 1 0 1997 Richard Weisinger and the Garrett Family Trust NASD S.F, A&6WB*Bptotion, Inc. Office of Dispute Resolution Arbitration No. 95-01220 Name of Respondents Gilbert Marshall & Co., In