WBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Corey Goldstein vs. 92-00315 Name of Respondents) Castle Securities Corp. V P Securities. Inc. Nick Ferrara vs. Michelle Hersh CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28. 1992. Claimant Corey Goldstein, by and through Edward Edelstein. Esq.. Flus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Bet-ween Name of Claimants Anne W. Ferguson Case No. 92-00313 Name of Respondents Dean Winer Reynolds, Inc. Eugenia G. Lavery For Claimant, Anne W. Ferguson ("Ferguson"): Albeit B. Lewis, Esq. of Piper, Esteva. Karvonen & Lewis. For Respondents, Dean Witter Reynolds, Inc. ("DWR") and Eugenia Lavery ("Lavery"): Melinda Socai Herbst, Esq. of DWR.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Kent Forster vs. 92-00312 Name of Respondents) Global America Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1992. Claimant Kent Forster, who appeared Pro Se, alleged that Respondent Global America, Inc. failed to follow his instructions to sell 7,000 sha

PUBLIC NATIICNAL ASSOCIATION CF SECURITIES DEALERS, INC. r. the Mat car or tr.e Arbitration Bee ween aineWebber, Inc. Claimant JoAnn Desanto Gauvin Deborah Howard Rescondents :ASE #92-00307 AWARD CASE SUMMARY In a claim tiled with -he National Association of Securities Dealers, Inc. on January 28, 1992, Claimant PaineWebber, Inc. by and through their in-house counsel Joseph A. Vallo, Esq. alleged that :>n • or abouc October 17, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Michael G. Scheer and Bette B. Scheer 92-00305 Name of Resoondent(s) Citizens & Southern Securities Corp. REPRESENTATION For Claimants Michael G. Scheer and Bette B. Scheer: Taylor Jones, Esq. and Timothy Brennan, Esq. of Atlanta, GA. For Respondent Citizens & Southern Securities Corp: G. Wayne Hillis, Jr., Esq. of Parker

N.A.S.D. AWARD NAITCNAL AssocrancN OP SECURITIES DEALERS in the Matter of the Arbitration Betinmeo Nas of Edward and Joyce Ranniger MASD NO. 92-00303 PainaMebber, Inc. G. Brsaisr For Claimants: Jama* D. Perkins, Esq., and Philip J. Amis, Spofcane, Waafaisgtcn. Caratau, Jr.,. Luddaa 6 Fear Respondents: WilliamMaC. zacntgonery, Esq., PalneWabber, Dae., lam Aog«lM, Statement of Claim filed: January 28, 1992 13, 1992 Joint St

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03055 Earle P. Ledwell, Claimant vs. Jeffery C. Welch and Multi-Financial Securities Corp., Respondents. ATTORNEYS: Claimant, Earle P. Ledwell, ("Claimant"), appeared Pro Se., San Jose, CA. For Respondent, Jeffery C. Welch, ("Respondent"), appeared Renee Des Voigne of Financial Network Investment Corporation, Torrance CA. For Respondent, Multi-Financial Securities Corporation, ("Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paul J. D'Orazio Claimant vs. Warren Five Cents Savings Bank Invest Financial Corp. Wall Street Investor Corp. Respondents CASE CASE #92-00298 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1992, Claimant Paul D'Orazio who appeared Pro Se. alleged that Respondent Invest Financial Corp. ref

-." -v i D \WARD NATIONAL ASSOCIATION OF SECURITIES DEALEST In the Matter of the Arbitration Between Name of Claimants Russell and Ann Kotfila 92-00297 Name of Respondents Advest, Inc. The Advest Group, Inc. John Nave For Claimants Russell and Ann Kotfila ("Claimants"): Paul Peter Nicolai, Esq., of the Nicolai Law Group, P.C. For Respondents Advest, Inc. and The Advest Group, Inc. (collectively known as "Advest 1 "*: Dean M.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00294 AWARD In the Matter of the Arbitration Between Bert J. Wilson Claimant vs. D.H. Blair & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1992, Claimant, Bert J. Wilson who appeared Pro Se, alleged that on December 12, 1991, at 3:30 pm, Respondent D.H. Blair & Co., Inc., by and through t