r AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Marjorie Bergum, and Robert O. Bergum and 98-01661 Name of Respondent Aragon Financial Services, Inc. REPRESENTATION OF PARTIES Marjorie Bergum, and Robert O. Bergum ("Claimants") were represented by Richard G. Himelrick, Esq., of Tiffyany & Bosco, Phoenix, Arizona. Aragon Financial Services, Inc. ("Respondent") was represented by Craig R. Bockma

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants John Winn, and Elaine Winn and 98-01655 Name of Respondents Robert W. Baird & Co., Inc., and Darryl Lieser REPRESENTATION OF PARTIES % John Winn, and Elaine Winn ("Claimant") appeared on their own behalf. Robert W. Baird & Co. ("RWB"), and Darryl Lieser ("Lieser") (hereinafter jointly referred to as "Respondents") were represented by Gregory G.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Jacqueline Elwell 98-01652 Name of Respondents Bellamah, Neuhauser & Barrett, Inc. David Carroll REPRESENTATION For Claimant Jacqueline Elwell ("Claimant"): Charles R. McCarthy, Esq., O'Connor &Hannan, Washington, DC For Respondent Bellamah, Neuhauser & Barrett, Inc. ("Bellamah"): Andrew Bellamah, Bellamah, Neuhauser & Barrett, Inc., Washington, DC

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Richard LaPlaca vs. Case No. 98-01649 Name of Respondents Dean Witter Reynolds, Inc. James Mulcahy REPRESENTATION For Claimant Richard LaPlaca ("Claimant") appeared Edward G Werner, Esq., a sole practitioner with offices located in Jackson, New Jersey. For Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and James Mulcahy ("Mulcahy") (coll

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Century Trading Co., Inc. Pension Plan & Trust, (Claimant) vs. Kidder Peabody & Co., Inc. and Robert Croland, (Respondents) Case Number: 98-01647 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Century Trading Co., Inc. Pension Plan & Trust, hereinafter referred to as "Claimant": E. Christopher Murray, Esq., Reisman, Peirez, Reisman & Calica, LLP,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gerry Fiecke and 98-01645 Name of Respondent - Joseph Michael Guccione Fred Richard Luthy REPRESENTATION OF PARTIES Gerry Fiecke ("Claimant") appeared pro se. Joseph Michael Guccione ("Respondent") was represented by Stephen W. Wilk, Esq., Robert C. Beers, P.C., Selden, New York. Neither Mr. Guccione nor Mr. Wilk appeared at the hearing held on Janu

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant John L. Zdep vs. Case No. 98-01644 Name of Respondents TFS Securities, Inc. Michael A. Jannone, Jr. REPRESENTATION For Claimant John L. Zdep ("Claimant") appeared Louis H. Miron, Esq., a sole practitioner with offices located in Westfield ; , New Jersey. For Respondents TFS Securities/ Inc. ("TFS") and Michael A. Jannone, Jr. ("Jannone")

AWARD NASD Regulation, Inc. CASE: 98-01640. John Peter Friedhoff, .claimant vs. Western International Securities, Inc., and Jake Jakubowski, respondents. ATTORNEYS: Claimant appeared Pro Se. - San Juan Capistrano, CA. For respondents appeared Donald Bizub, Pasadena, CA. DATE FILED: 5/4/98 CASE SUMMARY: Claimant alleged misreps, unsuitability, et al. Claim Data Award Data Claim: $3,673.63 Award: $.00 Filing Fees: $.00 Filing Fees: $62.50

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Steven Korman Case No. 00-03033 Name of Respondents Spencer Edwards, Inc. Edward H Price Ernest Harvey Dufresne Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimant, Steven Korman: Robert M. Kramer, Esq., Attorney at Law, Pittsburgh, PA. Respondents, Spencer Edwards, Inc. ("Spencer Edwards"), Edward H. Price ("Price"), and E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-01639 Marjorie Hanson, claimant vs. Charles Schwab Investment Co., respondent. ATTORNEYS: Claimant appeared Pro Se. - Key Largo, FL. For Respondent appeared Sean B, Meehan, Esq. - San Francisco, CA. DATE FILED: 5/4/98 CASE SUMMARY: Claimant alleged failure to follow directions in transfer of common stock. Claim Data Claim: $909.19 Punitive: $.00