NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas P. Ricci vs. Case No. 97-04044 Name of Respondents Coburn & Meredith, Inc. Stephen J. Wilson Barry M. Coburn REPRESENTATION For Claimant Thomas P. Ricci ("Claimant") appeared William A. Jacobson, Esq., of the law offices Kaplan & Jacobson, Inc., located in Providence, Rhode Island. For Respondents Coburn & Meredith, Inc. ("Coburn & Meredi

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Barbara Jean Hendrickson, and Michael Dorn Hendrickson and 97-04042 Name of Respondent OLDE Discount Corporation REPRESENTATION OF PARTIES Barbara Jean Hendrickson, and Michael Dorn Hendrickson ("Claimants") were represented by Jon A. Titus, Esq., of Titus, Brueckner & Berry, Scottsdale, Arizona. OLDE

STIPULATED AWARD NASD DISPUTE RESOLUTION RICHARD D. DUMAIS, ROSEMARY J. § DUMAIS, ELECTRONIC TRANSPORT § CORPORATION, and TEXAS MOVING § COMPANY, INC. § § Claimants, § § vs. § NASD Arbitration^: 00-02161 § MERRILL LYNCH, PIERCE, FENNER § & SMITH INCORPORATED and § CAROL L.MEYER, § § Respondents, § REPRESENTATION OF PARTIES Claimants Richard Dumais, Rosemary Dumais, Electronic Transport Corporation, and Texas Movin

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. 97-04041 Name of Respondent Stuart Hammerle REPRESENTATION Claimant Legg Mason Wood Walker, Inc. ("Claimant") was represented by Donald J. McCartney, Esq., Columbia, MD. Respondent Stuart Hammerle ("Respondent") was represented by J. Robert McMahon, Esq., McKissock & Hoffman, Philadelphia, P

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimant Paul Dantzig 97-04038 Name of Respondent Smith Barney, Inc. REPRESENTATION Claimant Paul Dantzig ("Claimant") appeared pro se. For Respondent Smith Barney, Inc. (''Respondent") appeared James S. Goddard, Esq., Associate general Counsel for Smith Barney, Inc. located in New York, New York. CASE INFORMATION Claimant's Statement of Claim was filed on A

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard W. Walsh and 97-04032 Name of Respondent First Cambridge Securities Corp. Francis E. Renner REPRESENTATION OF PARTIES Richard W. Walsh ("Claimant") was represented by Kevin L. McDowell, Esq., Brotzman, Buchholz & McDowell, Boulder, Colorado. First Cambridge Securities Corp. ("Respondent First Cambridge") did not appe

t '*> NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants ^ Judith Mae Harber, and Ruth Faber and . No. 97-04031 Name of Respondent A. G. Edwards & Sons, Inc. REPRESENTATION OF PARTTES Judith Mae Harber, and Ruth Faber ("Claimants") were represented by Everett B. Gibson, Esq., of the Everett B. Gibson Law Firm, Memphis, Tennessee. A. G. Edwards

- N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04028 Lawrence Wigdor, claimant vs^aptec Franchise Capital Partner L.P. IV, Norman Miller and Aragon Financial Services, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, North Miami Beach, FL. Respondent Captec Franchise Capital Partners L.P. IV appeared Pro Se ; through its Sr. Vice President, Ann Arbor, MI. For Respondents Norman Mil

AWARD NASD Regulation, Inc. In the Matter of the Arbitration. Between Name of Claimant W.A.P. Construction Co., Inc. vs. 97-04025 Name of Respondents Jordan R. Belfort Daniel M. Porush REPRESENTATION Claimant W.A.P. Construction Co., Inc. ("Claimant") was represented by George L. Mahr, Esq., Madison, New Jersey, Respondent Jordan Belfort ("Belfort") did not appear. Respondent Daniel Porush ("Porush") did not appear. CASE INFORMAT

AWARD NASD REGULATION, INC. ___ In the matter of the Arbitration Between Name of Claimant(s) Leonard Dugdale Name of Respondent(s) Steven K. Vornea REPRESENTATION For Claimant: Brett A. Alcala, Esq., Birnbaum, Umeda, Alcala & Alper LLP, Redwood City, California For Respondent:' Steven H. Vornea, Brookville, New York CASE INFORMATION Statement of Claim filed: August 12, 1997 First Amended Statement of Claim filed: September 22, 1997