Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gilford Securities, Inc., Claimant vs. Eric C. Decatur, Respondent. Case Number: 98-04672 Hearing Site: San Francisco, Califomia RKPRESENTATION OF PARTIES Claimant, Gilford Securities, Inc. ("Gilford"), hereinafter referred to as "Claimant": Norman S. Lawi, Esq., Gilford Securities, Inc., New York, New Yoric Respondent, Eric C. Decatur, hereinafter referred to as "Respondent": Eric C.

STIPULATED AWARD NASD REGULATION, INC. IN THE MATTER OF THE ARBITRATION BETWEEN FIRST UNION SECURITIES, INC. f/k/a EVEREN SECURITIES, INC., Claimant, -and- CHAD E. WIEGAND, Respondent. Case No. 98-04668 For Claimant: For Respondent: REPRESENTATION OF PARTIES Timothy N. Will, Esq. Albert & Will, LLP 2601 Airport Drive, Suite 345 Tonance, CA 90505 Chad Everett Wiegand, In Pro Per 1966 Felspar Street, Suite One S

AWARD NASD Regulation, Inc. CASH: 98-04662 Vivian C. Wang, claimant vs. Scott.sdale Securities. Inc.. respondents. ATTORNEYS: Claimant appeared Pro Se. Pacific Palisades, Caliiornia. For Respondent appeared Mark Finnegan. Compliance Manager of Scottsdale Securities, Inc., St. Louis, Missouri. DATE FILED: December 8. 1998. CASE SUMMARY: Claimant Vivian Wang alleged that Respondent Scottsdale Securities mistakenly sold her 500 shares of Think New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark Weiner, (Claimant) vs. Legg Mason Wood Walker, Inc. and Douglas Nani, (Respondents) Case Number: 98-04658 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Mark Weiner, hereinafter referred to as "Claimant": Joshua Teverow, Esq., Joshua Teverow, Esquire, Ltd., Providence, RI. Respondents, Legg Mason Wood Walker, Inc. ("Legg") and Douglas Nani ("Nani"

AWARD NASD Regulation, Inc. CASE: 98-04653 Robert H. Mares, claimant vs. Dain Rauscher Incorporated f/k/a Dain Bosworth Incorporated and Gregory J. Schulte. respondents. ATTORNEYS: Claimant appeared Pro Se. - St. Paul, MN. Respondents appeared through their Compliance Officer, James M. Borgerding, Minneapolis, MN. DATE FILED: December 7. 1998 CASE SUMMARY: Claimant alleged respondents did not act in his best interest or consider his limited

Award .N.ASD Royulalion. Inc. In the Matter of the Arbitration Between: Lorenclii Trust, (Claimant) vs. First Allied .Securities, Inc.(Respondenl). Case Number: 98-04652 Hearing Site: San Francisco, Califomia REPRESENTATION OF PARTIES Claimant, Lorenclci Trust, hereinafter referred to as "Claimant": Stanley F. Lorencki appeared pro se. Respondent, First Allied Securities, Inc., hereinafter referred to as "Respondent": Cara L. Finan, Esq., Keesal, Yo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Rita Curcio, Administratrix for the Estate of Christian Curcio NASD Case No. 98-04649 Hearing Location: Philadelphia, PA Name of Respondents Advest, Inc. Michael B. Rose REPRESENTATION OF PARTIES Claimant Rita Curcio, Administratrix for the Estate of Christian Curcio ("Claimant"): Jeffrey M. Cooper, Esq. of Levin & Cooper, Upper Darby, Pennsylvania.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leder Investments LTD., Claimant v. The Hamilton-Shea Group, Richard Scott Ginsberg, Peter Steven Tust, Evan Heath Epstein, and Tradeway Securities Group, Inc., Respondents Case Number: 98-04646 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent The Hamilton-Shea Group:

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03886 Cheryl Tihanyi, Claimant vs. Shochet Securities, Inc., Respondent. ATTORNEYS: For Claimant, Cheryl Tihanyi, ("Claimant"), appeared Adam S. Doner, Esq. of the firm Davis, Gordon & Doner, P.A,, West Palm Beach, FL. For Respondent, Shochet Securities; Inc., appeared Katherine Nathan, Esq. New York, NY. DATE FILED: August 23, 1999 CASE SUMMARY: Claimant alleged that Respondent mi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Philip R. Ciocci and Marie Ciocci, (Claimants) vs. Briarwood Investment Coimsel, Frederick Tropeano, and Michael Accurso, (Respondents) Case Number: 98-04643 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Philip R. and Marie Ciocci, hereinafter collectively referred to as "Claimants": Phillip C. Landrigan, Esq., White Plains, New York. Respondent, Briarwood