Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Albert Mcllvaine Names of Respondents Walsh Maiming Securities, LLC Frank J. Skelly, m Paul G. Wasserman Wesley A. Rusch James Thomas Shanley Salvatore Buccellato George Carlo, Jr. Eric J. Weiss Case No. 99-04336 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Albert Mcllvaine ("Mcllvaine"), hereinafter referred to

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Sheldon Goldman, Arlene Goldman, NFSC/FMTC IRA FBO Sheldon Goldman, NFSC/FMTC IRA FBO Arlene Goldman, Sheldon Goldman Living REV TRT and Arlene Goldman Living REV TRT Securities Service Networks, Inc., Costa Financial Group, Inc., Andrew G. Costa and Fidelity Brokerage Services, Inc. Case Number: 01-06432 Hearing Site: Boca Raton, Florida REPRESENTATION O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claudia Taylor and the Dr. Claudia Taylor Defined Benefit Pension Plan, (Claimants) vs. G.F. Tate & Company, Inc., Robert J. Hanney, Marcus C. Rodriguez, Thomas E. Wagner, and Quantitative Asset Management, Inc., (Respondents) vs. Marcus C. Rodriguez (Third-Party Respondent) Case Number: 98-01464 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Claudia Taylor

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Ficro Brothers. Inc. Claimant, and Southwest Securities. Inc., David Glatstein, William Felder and Jcny Wade Respondents. No. 98-01436 REPRESENTATION OF PARTTFS nf T ^'T ("Cl^t"), was represented by Martin P. Russo, Esquire of MPR Law Pracnce, P.C. located in Cortland Manor, New York. Respondents Soutitwest Securities. Inc.. David Glatstein. William Felder and Jerry

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marissa Santangelo V. Case No. 94-03242 Nameof ItesDondents. Joseph G. Chiulli Meridian, Dunhill & Co., Inc.. successor to Dunhill Equities, Inc. REPRESENTATIQN For Claimant, Marissa Santangelo, appeared Laura Schnell, Esq. of Vladeck, Waldman, Ellas & Engelhard located in New York, New York. For Respondent, Joseph Ch

NASD REGULATION AWARD In tbe Matter of the Aibitration Between Mame nf rialmant Richard A. Attanasio 94-02739 Names of Respondents Shearson Lehman Brothers, Inc. Mcholas Anthony Bcccella REPRESENTATIOW For claimant Richard A. Attanasio ("claimant") appeared Barry H. Bvenchick, Esq., of the law fbrm Hellring, lindeman, Goldstein & Siegal located in Newark, New Jersey. For req>ondents Shearson Lehman Brothers, Inc.("Shearson") and Nicholas Antho

N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimanf The Burke Family Trust V, Name of Respondent Ken^ier Securities, Inc. For Claimant: For Respondent: REPRESENTATION Patrick R. Burke, Jr., In Pro Per Santa Ana, California A. Brad Busscher Everen Seciu-ities, Inc. Chicago, Illinois CASE INFORMATION Statement of Claim filed: June 28, 1994 Claimant'

MASD Arbitration No. 94-02414 K.A.S.D. AWABB NATIONAL ASSQCTATTOW QF SKPTTRTTTRq nPl&T.F.RS. TNC!. In the matter of the Arbitration Between Robert N. Greco Name of Pt^gpondent (a^ Merrill Lynch, Pierce, Fenner & Smith, Inc. George Raines REPRESgMTATTQM For Claimant: Barry E. Ryan, Esq., Spokane, Washington For Respondents: Spencer Hall, Jr., Esq., Mundt, MacGregor, Happel, Falconer, Zulauf & Hall CASE ragORMATTQW Statement of Claim

N.A.i.O. AWARD NATIONAL ASSOCUTION OF SECLTUTIES DEALERS 'n the Matter ot the Arbitration Between Joseph F. King Joseph F. King. fRA Joyce A. King. [RA 94-01500 Name of R.>^p,.^H,nj Smith Barney, Inc. REPRESRTNfT^Tirt|>^ For Claimants. Joseph and Joyce King, appeared Joseph King, (pro se) For Respondent, Smidi Barney Inc annMnvi piu« ci- inc.. New York. New York ' ^"PP' '"-^O"" counsel wldi Smidi Barney, CASEiNynyM^7Y/.|^ Statemem o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. Marissa Santangelo V. Case No. 94-03242 Nameof R^Dondents. Joseph G. ChiuUi Meridian, Dunhill & Co., Inc., successor to Dunhill Equities, Inc. REPRESENTATION For Claimant, Marissa Santangelo, appeared Laura Schnell, Esq. of Vladeck, Waldman, Ellas & Engelhard located in New York, New York. For Respondent, Joseph Chiu