N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 984)2181 Theodore Levine, claimant vs. Duke & Co., Inc., Robert J. FogHctU, Gregory Longardino, John Teieli and William RothoJz, respondents. ATTORNEYS: Claimant Theodore Levine appeared Pro Se. t Springfield, New Jersey. Respondent Duke and Co,, Inc. X'Duke") did not respond to the Statement of Claim. Respondent Robert J. Fogliena did not respond to the

RPR.14.1999 10:l2flM • . NO.B29 P.14 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Mama nf June E. Smith 98-02179 Names of Respondents Sunpoint Securities, Inc. Jay H. Drivas For Claimant: Allan J. Fedor, Esq. and Fraud! Fedor, Esq. of Fedor & Fedor, Largo, Florida. For Respondent Sunpoint Securities, Inc. ("Sunpoiot"): Andrew R. Korn, Esq., and John W. Bowdich, Esq., Attorneys and Counselors at Law, Dallas, Texas.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James Townsend, Claimant vs. Monroe Parker Securities, Inc., J.B. Oxford & Company, Alan Lipsky, Bryan Herman and Michael Martino, Respondents. Case Number: 98-02168 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, James Townsend, hereinafter referred to as "Claimant": Scot D. Bernstein, Esq., Law Offices of Scot D. Bernstein, 2021 N. Street, Suite 100, Sacramento,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03094 Elizabeth Bartek, claimant vs. Financial Network Investment Corporation, Paul Edinger, Thomas Wiltrikis and Marvin Raff, respondents. ATTORNEYS: Claimant appeared Pro Se, Wharton, New Jersey. For Respondents appeared Luigi Spadafora, Esq., of the firm Winget, Spadafora & Schwartzberg, LLP, New York, New York. DATE FILED: July 21, 2000 CASE SUMMARY: Claimant alleged that r

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Robert F. Spoeri, Esq. v. Arbitration No. 98-02166 Name of Respondents J.B. Sutton Group, LLC, Alfred R. Patterson, and Anthony J. Coronati REPRESENTATION For Claimant: Robert F. Spoeri, Esq. In Pro Per Pacific Palisades, California For Respondents Alfred R. Patterson: No Appearance Anthony J. Coronati: No Appearance CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Florence and Harold Friedman, Claimants v. Kunz & Cline Investment Management, Inc., Financial Planning Services, Inc., Kevin Dee Kunz, Jeffrey Cline, and Bruce W. Anderson, Respondents. Case Number: 98-02165 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES Claimants, Florence and Harold Friedman, hereinafter collectively referred to as "Claimants": David Liebrader, Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Aroitration between CONSUELO HERTZ and MARSHA NASS, Claimants, -and- SEABOARD SECURITIES, INC., CLIFFORD MORGAN, and ANTHONY DlGIOVANNI, Respondents. NASD No. 98-02157 STIPULATED AWARD Hearing Site: New York City, New York. Representation of Parties: Claimants, Consuelo Hertz and Marsha Nass: Dan A. Druz, Esq. Respondents: Seaboard Securities, Inc., Clifford T.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gurtman & Martha Associates, Inc. Pension Plan, (Claimant) vs. Jeffrey N. Herman and Hampshire Securities Corporation, (Respondents) Case Number: 98-02154 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Gurtman & Murtba Associates, Inc. Pension Plan, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., a sole practitioner, New York, NY. Respondents Jeffrey

AWARD NASD Regulation, Inc. CASE: 98-02150 Wayne H. Hsu and Amy C. Hsu, claimants vs. Euro-Atlantic Securities, Inc. and Joseph J. Azzata, respondents. ATTORNEYS: Claimant appeared Pro Se - North Haven, CT. Respondent Euro-Atlantic Securities Inc. did not respond to the Statement of Claim. Respondent Joseph J. Azzaia appeared Pro Sc - Boca Raton, FL. DATE FILED: June 12, 1998. CASE SUMMARY: Claimants alleged that an unauthorized stock purchase w

AWARD NASD Regulation, Inc. CASE: 98-02149 Tony Jay Stanley, claimant vs. B.B. Graham and Co. and Bruce Graham, respondents. ATTORNEYS: Claimant appeared Pro Se. - Scottsdale, AZ. Respondent Bruce Graham appeared Pro Se. - Orange, CA. For respondent B.B. Graham & Co., Inc. appeared Bruce Edwin Graham - Orange, CA. DATE FILED: 6/12/98 CASE SUMMARY: Claimant alleged employer failed to pay last paycheck. Claim Data Award Data Claim: $10,000.00