Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Brian D. Feiock Case No. 98-01575 Names of Respondents Worthington Capital Group, Inc. Richard Kim Names of Third-Party Respondents Eric M. Stuerkin Richard Alexander Preisig, Jr. Equitable Options, Inc. Matthew William Stellwagen REPRESENTATION OF PARTIES For Claimant Brian D, Feiock ("Feiock"), hereinafter referred to as "Claima

AWARD NASD Regulation, Inc. CASE: 98-01572 Lydia Reese Family Trust, claimant vs. Bruce Edwin Graham and B.B. Graham & Co., Inc., respondents. ATTORNEYS: Claimant appeared Pro Se through its trustee, San Diego, CA. Respondents appeared Pro Se through President, Bruce Edwin Graham, Orange, CA. DATE FILED: April 29, 1998 ARBITRATOR'S REPORT: The award is based on loss of value due to unreasonable delay in sending stock certificates to petitioner p

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Vincent R. Avena, Judy Bove, George A. Harris,,. Robert Johnson, Joseph Karkenny, Jr., Michael A. Pezzello, Thomas Ryan, Paul Stegmann, and Dina Wright, (Claimants) vs. Shelby Cullom Davis & Co., L.P., (Respondent) Case Number: 98-01571 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Vincent R. Avena, Judy Bove, George A. Harris, Robert Johnson, Joseph Karkenny, Jr

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Paolo Pausic, Claimant v. The Boston Group, Clifford F. Mastncola and Robert DiMinico, Respondent. Case Number: 98-01565 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Paolo Pausic: James Gansinger, Esq. Gansinger & Hinshaw, LLP Los Angeles, California For Respondents The Boston Group and Robert DiMinico: Eric S. Hunter, Esq. Trachtenberg

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Mary Sadrakula vs. " Case No. 98-01564 Name of Respondents Vandham Securities, Frank Catrini, Tim Barba REPRESENTATION For Claimant Mary Sadrakula ("Claimant") appeared Michael Gross, Esq., whose law offices are located in River Edge, New jersey. For Respondents Vandham Securities, Frank P. Catrini and Tim Barba (collectively "Respondents")

AWARD NASD Regulation, Inc. CASE: 98-01560 Gruntal & Co., L.L.C., claimant vs. Allen Akwis and Chris Alovis, respondents. ATTORNEYS: For Claimant appeared Joseph D'Elia, Esq., Huntington, NY. For Respondents appeared David A. Kaminsky, Esq., New York, NY. DATE FILED: April 27, 1998. CASE SUMMARY: Claimant alleged respondents are liable for breach of contract due to respondents' liquidating their account, creating a debit balance and refusing to tend

• AWARD NASD REGULATION, INC In the matter of the Arbitration Between Name of Claimant(s) OLDE Discount Corporation v. Arbitration No. 98-01555 Name of Respondent(s) Sylwester Slojewski REPRESENTATION For Claimant: Michael Knittel, Esq. OLDE Discount Corporation Detroit, Michigan For Respondent: No appearance CASE INFORMATION Statement of Claim filed: April 27, 1998 Claimant's Submission Agreement signed: April 15, 1998

AWARD MA'DUMAl flabOt, 1 AHOft NASD Regulation, Inc. oe SECUR '™ S D » L " S ' '" c - In the Matter of the Arbitration Between i ! .! HFP SM 1QQQ Name of Claimant/Counterrespondent A> w i Stifel, Nicolaus & Company, Incorporated and 98-01552 Name ofRespondent/Counterclaimant Gary W. Hughes REPRESENTATION OF PARTIES Stifel, Nicolaus & Company, Incorporated ("Claimant") was represented by Har

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Sherron Westerfield Moore Names of Respondents Prudential Securities Incorporated, Smith Barney, Inc. and Alex B. Cornell NASD Case No. 98-01548 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES Claimant, Sherron Westerfield Moore ("Moore"), hereinafter referred to as "Claimant": William T. Kirtley, Esq., William T, Kirtley, P.A., Sarasota, Flo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gary John Marcantonio vs. Case No. 98-01545 Name of Respondents Meyers Pollock Robbing, Inc. Michael Ploshnick REPRESENTATION Claimant Gary John Marcantonio ("Claimant") appeared pro se. Respondent Meyers Pollock Robbins, Inc. ("Meyers Pollock") did not enter an appearance in this matter. Respondent Michael Ploshnick ("Ploshnick") did not appear