NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Edward and Hanna Bielecki, Individually and as JTWROS and 97-03043 Name of Respondent A.S. Goldmen & Co., Inc. William E. Van Ness Gregory Gaydos REPRESENTATION OF PARTIES Edward and Hanna Bielecki, Individually and as JTWROS ("Claimants") were represented by Richard A. Nervig, Esq., Denver, Colorado.

Modified Award NASD Dispute Resolution In the Matter ofthe Arbitration Between: James W. McCarthy (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. (Respondent) Case Number: 03-09195 Hearing Site: Boston, Massachusetts Nature ofthe Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James W. McCarthy ("McCarthy") hereinafter referred to as "Claimant": WilUam A. Jacobson, Esq., The Law Offices of William

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Karnes of Claimants Daniel B. Turner and Beatrice B. Turner, Trustees V. Names of Respondents PaineWebber, Inc., and Donna Payne Arbitration No. 97-05283 For Claimants: For Respondents: Statement of Claim filed: REPRESENTATION Nancy K. Undem, Esq. The Law Office of Nancy K. Undem Montecito, Califomia Peter J. Bado, Esq

Aionnuoiv ® « * a « fv V - N«tlon8lAMoc*rttofro N.A.S.D. ASaUD f^-"^ I , S«curttiesOMlMS,lnc ^ 'Cl\.'- NASO Rnancial Ceirtar NKTICMRL ASSOCUaiCH OF tamUTIiflj D9LESS l\ - ^ 33 Whitehall Street Naw YorK N.Y. 10004 FAX (212) 856-4389 m the Ibttec ot tha Azbitxatica Batwafn of claJjiBnt 91-03301 Ntona of ResDoodenta Ulc±ael MazteMsid Soott-Pbllett FGX> daizant Izbar Atzmoa ("daliiBnt"): he appeared pro aa. For SeepcBdeat Michael Hu

Award NASD Dispute Resolution tn the Matter of the Arbitration Between: Names ofthe Claimants Case Number 05-04391 Thomas W. Bishop Steven E. Hamant Timothy E. Scanlon Name of the Respondent Hearing Site: Richmond, Virginia Raymond James Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Claimant Thomas W. Bishop: Jay J. Levit, Esq.. Levit & Mann, P.C, Richmond, VA. For Claimants Ste

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Carol P. Hovanec Dr. Marshall Pitts The Estate of Hazel Pitts Raeford Bailey Liles Virginia Rembert Liles Annette F. Reynolds Joseph A. Lemay Moira K. Lemay Roger N. Johnson Erika Johnson Allison Johnson Loraine Johnson 97-03034 Name of Respondents Allan Alfred Viscardi Michael Barry Falken World Invest Corporation R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC T CASE: 00-02053 Jerome G. Forman, Claimant vs. Morgan Stanley Dean Witter Online, Respondent. ATTORNEYS: Claimant appeared Pro Se, Boca Raton, FL. For Respondent appeared Judith M. Rosenberg, Esq., in-house counsel for Morgan Stanley Dean Witter Online, San Francisco, CA. DATE FILED: May 17. 2000 CASE SUMMARY: Claimant alleged that a delay in processing a request for a sale of 3.000

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Janet Sullivan 97-03028 Name of Respondents Meyers Pollock Robbins, Inc. Michael Ploshnick John J. Colabria Lawrence Farley David Demarest, IV REPRESENTATION Claimant Janet Sullivan ("Sullivan") appeared pro se. For Respondents Meyers Pollock Robbins, Inc. ("Meyers") and Michael Ploshnick ("Ploshnick") appeared Respondent Michael Ploshnick,

• ' ^ i n 1-7 / / / / ' > > E ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Vicky L and Jay P. Hanrahan 97-03026 Name of Respondents First Cambridge Securities Corp.; Roland Williams REPRESENTATION For Claimants: Vicky L Hanrahan. and Jay. P. Hanrahan ("Hanrahan") appeared prose; For Respondents: First Cambridge Securities Corp. ("First") w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant .->, r Betty M. Briggs : ^h .-. 97-03024 ;.-•" L .dJ .:.";:•:/ J ' Names of Respondents PaineWebber, Inc. John Wechbaugh REPRESENTATION Claimant appeared pro se. For Respondents PaineWebber, Inc. ("PaineWebber") and John Wechbaugh ("Wechbaugh"): Patricia E. Cowart, Esq. of PaineWebbe