Stipulated Award • ' NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: Donald & Pauline Waldt, JTWROS, Pauline Waldt IRA, 01-03122 and Donald Waldt IRA Names of the Respondents Hearing Site: StockDr.Com, Inc., Tampa, FL Wealth Management Financial Group, Inc., Michael S. Gold, Lee Anthony Siler, and FAS Wealth Management Services, Inc. REPRESENTATION OF PARTIES For Donald & Pauline Waldt, JTWROS, Paul

NATIONAL ASSOCIATION OF SECURITIES DEALERS^ IN THE MATTER OF THE ARBITRATION BETWEEN Michael J. DiCicco Case #90-00111 Claimant AWARD vs. Merrill Lynch Pierce Fenner & Smith, Inc. Respondent CASE SUMMARY Claimant, Michael J. DiCicco ("DiCicco"), alleged that Respondent Merrill' Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), made misrepresentations to the Claimant concerning the suitability of an investment in the Met Life State

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Donald F. Woods Case #90-00109 Claimant AWARD VS . A.G. Edwards & Sons, Inc. Respondent CASE SUMMARY Claimant, Donald F. Woods, alleged that Respondent, .A.G. Edwards & Sons, Inc., breached its agreement to execute a* transaction regarding the common stock of Chase Medical Group, Inc. and failed to deliver the stock certificates evidencing t

N.A.S.D. AWARD NHTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) JfaznB^Q^CjAJIJHntfs^ ) ) Irvin J. & Rita Weiss ) ) Case Mo. 90-00108 Name of RaaDQndsnt(s) ) } Otra Clearing, Inc. ) Profile Investments Corporation ) Robert Schlein ) Carlos Fontecilla ) Alan Stuart Beshany ) Gregory Manctel Marholin ) Heard before the members of the Arbitration Panel: Robert Herschmann, Esq. Publi

I I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steve Rubin Claimant(s) vs. 90-00104 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Steve Rubin alleged that Respondent(s) Prudential-Bache Securities, Inc. was negligent. Respondent denies .Claimant's allegations. RELIEF REQUESTED Claimant (s) Steve Rubin requested damages

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betveen Name of C\ atmant-./ s \ Philip L. & Marianna J. Koch 90-00100 NanBpfReBpDndentja) Blinder Robinson & CO., Inc. John Flanagan In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 25, 1988, Philip L. and Marianna J. Koch ("Claimants") alleged that John Flanagan ("Respondent") while employed as a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. Barron Claimant(s) vs. 90-00139 Blinder, Robinson fi Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) John L. Barron alleged that Respondents) Blinder, Robinson & Co., Inc. made misrepresentations. Respondents) maintain that they were legally selling non-registered securities and that they were not required

Arbitration National Association ot Securities Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Cowen & Company Claimant Case t 90-00138 Award vs. Phillip A. Barragate Respondent CASE SUMMARY -• Claimant, Cowen & Company ("Claimant") alleged that Respondent, Phillip A. Barragate ("Respondent")

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Lucarelli Claimant(s) ARBITRATION vs. AWARD 90-00136 Greentree Securities and John Irons Respondent(s) NOTICE OP CASE SUMMARY Claimant(s) Michael Lucarelli alleged that Respondent(s) Greentree Securities and John Irons failed to execute a sell order given by Claimant. Respondent John Irons denies Claimant's allegations. Respondent Gree

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Perkins, Jr. Claimant(s) vs. 90-00134 Shearwater Financial Corp. and Steve Wormald Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert S. Perkins, Jr. alleged that Respondent(s) Shearwater Financial Corp. and Steve Wormald misrepresented material facts as to Claimant's investment with Respondent. Respondent{