AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Paul E. Thomas, Claimant, and No. 97-00628 Merrill Lynch, Pierce, Fenner and Smith, inc., Respondents. REPRESENTATION OF PARTIES Claimant Paul E, Thomas was represented by Mark Maddox, F.squire of Maddox Koellcr Hargett & Caruso, located in Indianapolis. Indiana. Respondent Merrill Lynch, Pierce, Fenner and Smith. Inc. was represented by John R.

BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of ) CASE NO. 97-00619 RHODA PREGERSON, ) Claimant, ) NASD AWARD vs. ^ ) TOLUCA PACIFIC SECURITIES ) CORPORATION; LEAUWANDEAU) CLARKE; PAUL THOMAS ) FIOR1NI; WILLIAM EENRY ) JOSEPH; AND WALTER ) HENDRICKS, ) Respondents, ) REPRESENTATION For Claimant Robert A. Uhl, Esq. c/o Aidikoff & Uhl For Respondent Toluca Pacific No appearance Securities Corpor

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Michael Bloch and Michael's Finer Meats & Seafood and 97-00615 Name of Respondent Kensington Wells Incorporated Elias Tacher Sal Tacher Steven Vornea Marc Luxemberg Evan Lasher Adam Levy Name of Third Party Respondent Abraham Mirman REPRESENTATION OF PARTIES Michael Bloch and Michael'sFiner Meats & Seafood ("Claimants") were represented

NASD REGULATION AWARD In the Matter of the Arbitration Between Names of Claimants Steven Ingrassia Slava Vulman Steven Bernstein Yefim Jeff Bassin Frank Ingrassia 97-00607 Name of Respondent Joseph Dillon & Company, Inc. REPRESENTATION For claimants Steven Ingrassia ("S. Ingrassia"), Slava Vulman ("Vulman"), Steven Bernstein ("Bernstein"), Yefim Jeff Bassin {"Bassin* 1 ) and Frank Ingrassia ("F. Ingrassia"), collectively

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OE SECURITIES DEALERS REGULATION* INC. CASE; 97-00602 Nelson Exemption Trust, et aL, claimant v. PaineWebber, Inc., respondents. ATTORNEYS: For Claimant appeared David Watnmer located in Citrus Heights, CA. For Respondents appeared Romaine Gardner, Esq. located in Weehawken, NJ. DATE FILED: 2/4/97 CASE SUMMARY: Claimant alleged failure to follow instructions in the sale of stock. Claim Data Award Data

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Larry and Laura Hiatt, and Christopher and Joan Korth and 97-00600 Name of Respondents First Colonial Securities Group, Inc., and Bruce Bentcman REPRESENTATION OF PARTIES Larry and Laura Hiatt (the '"Hiatts"), and Christopher and Joan Korth (the "Korths") (collectively referred to as "Claimants") were represented by John J.

NASD REGULATION, INC. AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Donald P. Anderson and Lena M. Anderson v. Arbitration No. 97-00598 Name of Respondents A.S. Goldman & Company, Inc., Louis M. Lombardi, James V. Marino and Anthony Marchiano REPRESENTATION For Claimants: Bruce A. Spear, Esq. Lewis, Hoxie & Spear San Diego, California For Respondents A.S. Gold

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert J. Sirelich Name of Respondents Bank of America Investment Services. Inc. Robert Stanley Donaphin Arbitration No. 97-00595 For Claimant: For Respondents Bank of America Investment Services. Inc. and Robert Stanley Donaphin: REPRESENTATION Constance G. Jays Non-Attorney Representative Torrancc.

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Truett Swaim, Leigh Swaim, and Bryan Wilson and 97-00592 Name of Respondents Walnut Street Securities, Paul Ewing, and Prosperity Advisory Group, Inc. REPRESENTATION OF PARTIES Truett Swaim, Leigh Swaim, and Bryan Wilson ("Claimants") were represented by John J. Miller, Esq., Overland Park, Kan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Suren Sarian, Claimant vs. Ragen MacKenzie, Inc. and Thomas Tawresey, Respondents. Case Number: 00-01767 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Suren Sarian, hereinafter referred to as "Claimant": John A. Bender, Esq., Weiss, Jensen, Ellis & Howard, Seattle, Washington. Respondents, Ragen Mackenzie ("Mackenzie") and Thomas Tawresey, ("Tawrese