AWARD NASD Regulation, Inc. CASE: 98-03171 Edward P. Fetrow, claimant vs. Josephthal Lyon & Ross Inc. and Steve Bozac, respondents. ATTORNEYS: Claimant appeared Pro Se. - Mechanicsburg, PA. For respondent Josephthal Lyon & Ross Inc. appeared John Bersin, Esq., - New York, NY. Respondent Steven E. Bozac appeared Pro Se. - Bayside, NY. DATE FILED: 8/31/98 CASE SUMMARY: Claimant alleged misrepresentation, negligence, suitability and failure to supe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03182 Torrey Pines Securities, Inc. Claimant vs. Jeremy M. Gorelick, Respondent. ATTORNEYS: Claimant, Torrey Pines Securities, Inc., ("Claimant") appeared through its President, Jack C. Smith, San Diego, CA. Respondent, Jeremy N. Gorelick, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: July 26, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to ho

AWARD NASD Regulation, Inc. CASE: 98-03170 Eric B. Arnold, claimant vs. Jerome R. Kessenich, respondent. ATTORNEYS: Claimant appeared Pro Se, Kalamazoo, ML Respondent did not respond to the Statement of Claim. DATE FILED: August 31, 1998. CASE SUMMARY: Claimant alleged failure to pay brokerage commissions due to him over first six months of 1998. Claim Data Award Data Claim: $9,900.00 Award: $8,025.00 Filing Fees: $0.00 Filing Fees: $575

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-03169 Mary Ellen Ringoot, claimant vs. Allerton Towne and Argent Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Oakland Park, FL. Respondent Allerton Towne appeared Pro Se, Boca Raton, FL. For Respondent Argent Securities, Inc., appeared Thomas R, Todd, Jr., Esq., Atlanta, GA. DATE FILED: 08/31/98 CASE SUMMARY: Claimant alleged that re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Steven D. Murphy Case No. 98-03166 Name of Respondents VTR Capital, Inc.(nka Fairchild Fncl.) Jason Cope REPRESENTATION OF PARTIES Claimant Steven Murphy represented himself. Respondent VTR Capital, Inc. ("VTR") was not represented. Respondent Jason M. Cope ("Cope") represented himself, CASE INFORMATION Statement of Claim filed on or ab

AWARD NASD Regulation, IDC. In the Matter of the Arbitration Between Name of Claimant Don F. White, Sr. NASD CASE NO. 98-03164 Name of Respondent LCP Capital Corp. REPRESENTATION For Claimant: L. Bruce McDaniel, Esq. of McDaniel, Anderson & Stephenson, L.L.P., Raleigh, North Carolina. For Respondent: Charles M. O'Rourke, Esq., Garden City, New York. cs t ; CASE INFORMATION Statement of Claim riled on August 31, 1998. Claimant

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of .Claimant Gregory J. Owoc NASD CASE NO, 98-03163 Names of Respondents Josephthal & Co. Inc. Gaines, Berland Inc. Raymond A. Mando Daniel P. Sexton Alan D. Gaines Joseph Berland Steven J. Lipack Kristopher E. Valdez REPRESENTATION Claimant Gregory J. Owoc ("Owoc") appeared pro se. For Respondents Josephthal & Co. Inc. ( n Josephthal"),

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas W. Olick, (Claimant) vs. Washington Square Securities, Inc. and Julie Cooney, (Respondents) Case Number: 98-03160; consolidated with 99-03134 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimant, Thomas W. Olick, hereinafter referred to as "Claimant 11 , appeared pro se, Respondents, Washington Square Securities, Inc. ("Washington") an

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Bob Binsky and TR Sport, Inc. and 98-03158 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION OF PARTIES Bob Binsky and TR Sport, Inc. ("Claimants") were represented by Bob Binsky. Fidelity Brokerage Services, Inc. ("Respondent") was represented by Robert N. Rapp, Esq., Calfee, Halter & Griswold, LLP, Cleveland, Ohio. CASE INFORMATION

AWARD NASD Regulation, Inc. CASE: 98-03149 Olde Discount Corporation, claimant vs. Scott Alexander Gryskiewicz, respondent. ATTORNEYS: For claimant appeared Matthew J. Boitos, Esq., - Detroit, MI. Respondent appeared Pro Se - Detroit, MI. DATE FILED: 8/28/98 CASE SUMMARY: Claimant alleged that respondent failed to pay the debit balance in his account. Claim Data Award Data Claim: $4,733.59 Award: $4,733.59 Interest: $622.28 Interest: 8.7