Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Jay T. Pierce. Raymond Fisk. and Jennifer Fisk. Claimants v. Waldron & Co.. Inc.. Cery B. Perle. Michael D'Amico, Michael Visbal. Wedbush Morgan Securities. Inc.. Edward Harris, and Jon G. Aubry, Respondents Case Number: 98-03798 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent Waldron & Co., Inc. For Respondent Cery B.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Scott Schuitz and Schultz Investment Advisors, Inc. vs. Kathy Bradford, Dominion Investor Services, Inc., and Dominion Financial Advisors, Inc. (97-5591) and Scott Schultz and Schultz Investment Advisors, Inc. vs. Dominion Investor Services, Inc., and Dominion Financial Advisors, Inc. (97-4981) Case Number: 97-5591 & 97-4981 (consolidated) Hearing Site: Detroit, Michigan REPRESENT

NASD Re 9 ulation > |nc - Office of Dispute Resolution REGULATION 125 Broad Street " 36th Floor * New York, NY 10004-2193 ' 212-858-4400 * Fax 212-858-4389 An NASD Company Satelite Office at 1735 K Street * 4th Floor * NW 'Washington. DC 20006-1506 * 202-72B-8958 * Fax 202-723-6952 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02984 Robert L. Wall, claimant vs. Merrill Lynch Pierce Fenner

NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Eugene Bellagamba and Josephine Bellagamba and 97-03141 Name of Respondent Baker Weeks & Company now known as Hornblower & Weeks, Inc. Alden Capital Markets, Inc. John Rooney James Cohen Alexander Naroditsky a/k/a Alexander Narod Jeffrey Chicola REPRESENTATION OF PARTIES Eugene Bellagamba an

STIPLUATED AWASD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between VICTORIA FRANZEL, Claimant. v. NASD Case No. 96-02042 PAINEWEBBER INCORPORATED AND MARK MILASK, Respondents. REPRESENTATION OF PARTIES For Claimant Victoria Franzel ("Claimant"), Robert P. Anderson, Esq., of Nemes & Anderson, PC, located in Farmington Hills, Michigan. For Respondents PaineWebber Incorporated and Mark Milask ("Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darcy L. Bock 96-01825 Name of Respondents John C. Topercer World Invest Corporation REPRESENTATION For Claimant: Guy M. Burns, Esq. of the law firm of Johnson, Blakely, Pope, Bokor, Ruppel, & Burns, P. A. Tampa, Florida. For Respondent World Invest Corporation ("World"): William S. Scott, Esq., The Scott Law Firm, Holl

NASD STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert J. Kiel Peter Shaughnessy 96-01712 Name of Respondents A.S. Goldmen & Company, Inc. Anthony Marchiano Stuart Winkler Stephen Kaplan Salvatore Marchiano REPRESENTATION For Claimants Robert J. Hiel and Peter Shaughnessy, ("Claimants"): Dan A. Druz, Esq., Attorney at Law, Manasquan, New Jerse

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Leo Fleysher and Sofia Fleysher 95-00644 Name of Respondents Steven Jaloza Oleg Ferdman Joseph Dillon & Co., Inc. Corporate Securities Group, Inc. J.W. Charles Clearing Corp. REPRESENTATION For Claimants appeared Lloyd S. Clareman, Esq., a sole practitioner, located in New York, New York. For Respondents Steven Jaloza ("Jaloza"), Oleg Ferdman ("Ferdman")

N.A.S.D. AWARD NAIXCNAL ASSOCIATION 1 OF SECURITIES DEALERS In the Matter of the Arbitration Between f Claimants Steven L. Worley Xathryn A. Hbrley vs. 92-01673 flame .>£ Respondents Paulson Investment Co., Inc. Dantan Wagner For CLadnants: Kim T. Buckley, Esq., Esler, St^hvui 6 Buckley, ftartlaod Otejin VCac Keopcodeats: David B. Wilee, Eaq., Weiss, Jeoaea, Ellis & Botterl, Portland, Qregcn Statement of Claim filed: May

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF.CURTTTF.S DEALERS. INC. In the matter of the Arbitration Between Name nf Claimants Wilder Barnes Virginia B. Wanbaugh vs. Name of Respondents Dean Witter Reynolds, Inc. Jesse Blount, HI NASD Arbitration #92-01623 REPRESENTATION For Claimants: Terence M. Kane, Esq., Ferrari, Alvarez, Olsen & Ottoboni, San Jose, California For Respondents: Wendy R. Robinson, Esq., Dean Witter Reynolds,