Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James A. Boulton, (Claimant) vs. Renaissance Financial Securities, Corp., James Heitzer, Christine Heitzer, Todd Spehler, Arthur W. Kishpaugh, Stephen R. Cavanagh, and William A. Holmquist (Respondents). Case Number: 97-03249 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant James A. Boulton ("Boulton"): Kim R. Denkewalter, Esq., Denkewalter & Angelo: Northfield,

.* SfcNT BY: 6-14-99 ;ll:42AW fNASD ARBITRATION DPT-> 12122087581;#29/31 AWARD REGULATION. INC. In the matter of the Arbitration Between Mame of Claimant fa) John H. Antonelli Arbitration No* 97-03248 Name of Respondent fs) Edward D. Jones & Co. REPRESENTATTQH For Claimant; Rene Erm II, Esq., Reese, Baffney, Schrag & Hedine, P.S., Walla Walla, Washington For ( Respondent: Cynthia A. Doria, Esq., Edward D, Jones & Co., St.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03247 Varghese Yohannan and Ponnamma Yohannan, claimants vs. Scott Sevart and Smith Culver Investments, respondents. ATTORNEYS: Claimants appeared Pro Se. - Philadelphia, PA. Respondent Scott Sevart appeared Pro Se - Palm Beach Gardens, FL. Respondent Smith Culver Investments did not appear. DATE FILED: 6/30/97 CASE SUMMARY: Claimant alleged unauthoriz

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-03243 Sam C. Wong and Karen Y. Wong, claimants vs. Kevin Mahon and Marsh Block & Company, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, San Jose, CA. Respondents did not respond to the Statement of Claim. DATE FILED: June 30, 1997. CASE SUMMARY: Claimant alleged that respondents sold his shares of New World Communication Group, Inc. stock and

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants i \ Morris and Gloria Slotsky 97-03241 Name of Respondents First Cambridge Securities Corp. Jack Koppel REPRESENTATION Claimants Morris and Gloria Slotsky ("Claimants") were represented by Douglas R. Lally, Esq., Jenkintown, PA. Respondent First Cambridge Securities ("First Cambridge") did not appear. Responden

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Amy Hwang and Shu-Ying Huang v. Arbitration No. 97-03236 Name of Respondents Capital World Securities Corp. and Joseph C. Kung REPRESENTATION For Claimants: . Steve A. Buchwalter. Esq. Law Offices of Steve A. Buchwalter Encino, California For Respondents: Edward T. Swanson, Esq. Swanso

AWARD NASD Regulation, Inc In "he raacter or ~he .Arbitration Between Name of Claimant (5) Lyle M. Rich and Geraldine C. Rich, Trustees Lyle PI. Rich Intervivos Trust Arbitration No, 97-03234 jf Respondent fsj Joseph Dillon & Co., Inc RE PRE S ENTATION For Claimant: Steve .A. 3uchv;alter, Esq., Encino, California For Respondent: Michael P. Morabito, Esq., Robinson Brog Leinwand Greene Genovese & Gluck P.C., New York, New York

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Edrose Brouillard and Elizabeth Brouillard and 00-02079 Southfield, Michigan Sigma Financial Corp. James A. Dempsey Jerome Stanley Rydell Ashford Financial Group, Inc. REPRESENTATION OF PARTIES Edrose Brouillard and Elizabeth Brouillard ("Claimants") were represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Sigma Financial Corp. ("Sigma"), Jame

AWARD NASD REGULATION. INC . _^_^_ In the matter of the Arbitration Between Name of Claimant: fa) LinsCo/Private Ledger Name r>f= Respondent fa} Jon Scott Fehrenbacher Arbitration No. 97-03230 For Claimant: Michael J. Runzi, LPL Financial Services, San Diego, California For Respondent: Jon Scott Fehrenbacher, Redmond, Washington CASE INFORMATION Statement of Claim filed: June 26, 1997 First Amended Statement of Claim filed: Novem

ARBITRATION AWARD NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION fn the Matter of the Arbitration Between Name of Claimants Yevgeny and Asya Odessky; Marina Brin & Benjamin Gorelik 97-03228 Name of Respondents GKN Securities Corp.; Dmitry Aranovich REPRESENTATION For Claimants: Yevgeny and Asya Odessky; Marina Brin; and Benjamin Gorelik ("Claimants'") were represented by llya Boguslavsky of Short Hills, New Jersey. For Respondent