NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Surinder and Parvinder Chabra 96-01833 Name of Respondents Amarjit Singh Birchtree Financial Services, Inc. A. Randal Burch Rauscher Pierce Refsnes, Inc. Regional Operations Group, Inc. REPRESENTATION For Claimant Surinder and Parvinder Chabra ("Claimants"): G. Alexander Novak, Esq. of the law firm of Novak & Juhase, Woodmere, NY. Respondent Amarjit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael T. Dowling 96-01832 Name of Respondents Thomas Decegiie Shannon Johnson Kevin Williams Michael Haefling Joe Huff Marco Fiore Thomas DeSimone Nationwide Securities Corp. REPRESENTATION Claimant Michael T. Dowling ("Claimant") appeared pro se. Respondent Thomas DeCeglie ("DeCeglie") appeared pro se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Isminy Cagos Family Living Trust Isminy Cagos 96-01829 Names of Respondents NAP Financial Corporation Aragon Financial Services Inc. Signal Securities Inc. Thomas Cannon Sunpoint Securities Inc. William M. Perry Van Roberson Lewis, III REPRESENTATION For Claimants: Jeffrey P. Coleman, Esq., Clearwater, Flo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joshua Stephens v. Balis, Lewittes & Coleman, Inc., Charles Balis, Mathew Coleman, Sr. and Mathew Coleman, Jr. Case Number: 01-02051 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents: Balis, Lewittes & Coleman, Inc. Charles Balis Mathew Coleman, Sr. Mathew Coleman, Jr. Elizabeth Lowery Fields, Fehn & Sherwin

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Robert B. Cayne, Jr., Phyllis J. Ash, individuals, TICKET TO RIDE, INC., a corporation v. Arbitration No. 96-01824 Name of Respondents Hamid Fereydouni, Dean Witter Reynolds, Inc. REPRESENTATION For Claimants: Robert Hirshman, Esq. Robert Hirshman & Associates Encino, California For Respondents: Michelle Bryan Qroschak

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stuart M. Fricdell and Nancy R. Friedeil and 96-01818 Name of Respondent Hamilton Investments, Inc. Roger Doom REPRESENTATION OF PARTIES Stuart M. Friedeil and Nancy R. Friedeil ("Claimants") was represented by Steven E. flap, Esq.,Rau & Floyd, P.L.L.P., Minneapolis, Minnesota and Lorenz F. Fett, Esq., Lockridge Grindal, Nauen &

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Robert W. Day Arbitration No. 96-01817 Name of Respondent(s) Chad Beanland REPRESENTATION For Claimant: Richard Peter Kammet, Investor Consumer Advocates, Albany, California For Respondent: No appearance by Respondent Chad Beanland CASE INFORMATION Statement of Claim filed: April 18, 1996 Claimant's Submissio

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nam^rfClaimant Audrey Bassett 96-01815 Merrill^ Lynch, Pierce, Fenner A Smith, Inc. CASH SUMMARY In a claim filed with the National Association of Securities Deakra, IDC. on April 26, 1 Claimant Audrey Bassett ("Claimant"), who appeared Pro Se, alleged tint in Octobv of Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Respondent*), repr

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Larry Moffett Case No. 96-01814 of Responents Robert RondineRo Vision Investment Group, Inc. REPRESENTATION OF PARTIES Claimant Larry Moffett appeared pro se. Respondent Robert Rondinsllo Esq. appeared pro sa. For Respondent Vision ("Vision"): Paul Caruso of Vision Investment Group. Inc. CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dominic and Martha Puleo 96-01813 Name of Respondents Norfolk Securities Corporation Kirk Ruffler CASE SUMMARY [n a claim filed with the National Association of Securities Dealer, Inc. on April 26, 1996, Claimants Dominic and Martha Puleo ("Claimants"), who appeared Pro Se, alleged that Respondents Norfolk Securities Corpo