NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Michael Newman 96-01652 Name of Respondents ^Kensington Wells, Inc. Peter Kaufman Carmine D'Angelo Eric Schnell Eric Freiberg Jay Glisten Arm Giordano Douglas Perman Francine Sacco Danielle Scaglione REPRESENTATION For Claimant Michael Newman ("Claimant") appeared Stanley S. Zinner, Esq. of the law firm

NASD^AWARD NASD SRGULATION, INC. In the Matter of tiie ArbltraCion Between George A. Cauzza Carlo KyfffiM 94^)4554 (conacdidaies witii 96^)0510) JoMphtiial Lyon & Ross Inc. lames Francb Lowe SggNTATlQ^ For Qaimanta. George A. Casazza rQB»zft")» «nd M. Kyprios (Kypr'ios) (coltectively, "Oaimantt'^ appealed, Danid B. Kalz^ Esq.f ftom tiie law finn of PEcssaun St Assodates located in New York, New York. POr ReapondeBts. Josephthd Lyon &

AWARD NASD Regulation, Inc. Office of Dispute Resohition In the Matter of the Arbitration Between Coastal Securities LTD, Claimant, and Mowelt Financial Group, Inc., Respondent. No. 95-04412 Consolidated with: In the Matter of the Arbitration Between Ellington Mor^^ Partners, LP, . L Claiinant, and No. 96-00467 Raymond James & Associates, Inc., Respondent and Third-Party Claimant, and Water^de Development Co., and J

Q AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Glen Swartz and Eugene Stombler, Claimants and Counter-Respondents, and William Allen, Mark Evers, Richard GrifFard. Richard Schauwecker, and David Mulligan, Claimants, and Victoria Montano, Alexander Montano, and AmyMontano ^ Respondents and Counter-Claimants and ConsoUdated Case Nos. 95-04735 and 95-05927 - nd Daniel C. Montano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Minnie Massey Disanto 95-05895 © National Association cf securitiesDcaJefs, Inc. ^ • 199/; All Rights Reserve* Name of Respondent Mike Mullett CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on December 18, 1995, Claimant Minnie Massey Disanto ("Claimant"), who appeared Pro Se, a

%/olf/ NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between C Niniomil Associati07r of Name of Claimant Socuriries Dealers. Tn:. Frank L. Comes * and Case Number 95-03045 All Ri(hts Reserved (consolidated with 95-0405 I) Names of Respondents Kirkpatrick, Pettis, Smith, Polian, Incorporated, Dickinson and Company and Robert Vemon IW:PBESEIVTATTOV OF PABTTES Frank L. Comes (

\ rj AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Leilani J. Witt, Claimant, and No. 96-00708 /)fSirkelbach Investment Securities, Inc. and Frank Miya, Respondents. In the Matter of Arbitration Between Birkelbach Investment Securities, Inc. Claimant, Consolidated with: and No. 96-01186 Leilani Witt and Peter Dau, Respondents. REPRESENTATION OF PARTIES Case Num

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the MaUer of the Arbitration Between Name of Claimants Ralph L. and Michaela V. Amato Case No. j V. 95-04102 Name of Respondent(s) Prudential Securities Inc Keith L. Polishook REPRESENTATION For Claimants Ralph L. Amato and Michaela V. Amato ("Claimants") appeared pro se. For Respondents Prudential Securities, Inc. ("Prudential") and Keith L. Polishook ("Polishook")(collectiv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan M. Poise Trust, Alan Poise, Ruth Poise, Julie Poise, and Alan M. Poise Profit Sharing Plan, (Claimants) v. D.H. Blair & Company, Barrington Capital Group, L.P., and Richard A. Gaydos, II, (Respondents) Case Number: 99-03671 consolidated with Robert J. Ficek on behalf of Robert J. Ficek IRA, Jean Ficek, and Susan Ficek, (Claimants) v. D.H. Blair & Company, Barrington Cap

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Lois Hertzog vs. f 98-00681 Name of Respondents Fahnestock & Co., Inc. Roseann E. Johnson REPRESENTATION For Claimant Lois Hertzog ("Claimant"): Joan M. Markey, Esq., New York, New York For Respondents Fahnestock & Co., Inc. ("Fahnestock") and Roseann E. Johnson ("Johnson"): William E. Mahoney, Jr., Esq., Stradley Ronon Stevens & Young LLP, Malv