NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Commonwealth Associates 98-00081 Name of Respondents HughD. Bellingreri John P. Paradise REPRESENTATION For Claimant Commonwealth Associates ("Claimant") appeared Richard A. Campanella of Commonwealth Associates located in New York, New York. Respondent Hugh D. Bellingreri ("Bellingreri") appeared pro se. Respondent John P. Paradise ("Paradise") app

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Catherine M. Mainini IRA, Claimant v. First Security Van Kasper and Brian Olton, Respondents r- 01-01754 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant Catherine M. Mainini IRA: Anthony M. Englese, Esq. Law Offices of Anthony M. Englese San Francisco, California For Respondent First Security Van Kasper: For Respondent Brian O

NASD AWARD i i NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant .,-- Arthur M. Wein Alice F. Wein Case Number and 93-00075 Name of Respondent Investors Associates, Inc. Torin G. Greenspan William M. Cutrone Troy V. Wren Frank H. DiCarlo Robert N. Conforte, Jr. REPRESENTATION OF PARTIES For Arthur M. Wein and Alice F. Wein ("Claimants",) appeared S. Herman Klarsfeld, Esq. a sole pract

DEC. 19. 1998 l:03PM NflSD REGULfiTION FL ISO. 754 p. 12 N.A.S.D. REGULATION, tNC. AWABD NASD Relation, Inc., Office of Dispute Resolution In the Ms Lter of the Arbitration Between Name of •ff'aimant _? Shirley Carey i 98-00074 Names oi ^Respondents La Jolla Capital Corporation Harold B^tey Gallison Michael liiic Dudley Gregory .tan Hilsenrath REPRESENTATION For Clairgoit: Morris J. Levin, Esq. of Washington, DC. For Responde

AWARD NASD Regulation, Inc Arbitration No. 98-00073 In the matter of the Arbitration Between Name of Claimantfs) Norman VanEpps Name of Respondent(s) Nationwide Investment Services Corporation REPRESENTATION For Claimant: Norman VanEpps, Enumclaw, Washington For Respondent: Barbara J. Shane, Nationwide Investment Services Corporation, Columbus, Ohio CASE INFORMATION Statement of Claim filed: January 6, 1998 Additional submiss

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Paul W. Melmon v. Dakin Securities Corporation Robert Boyer Hutchinson For Claimant: REPRESENTATION Brian L. Zagon, Esq. Keesal, Young & Logan San Francisco, California For Respondent Dakin Securities: Anthony M Englese, Esq. San Francisco, California For Respondent Robert Hutchinson: No Appearance Arbi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph and Karen Soderberg, Claimants v. Maidstone Financial, John Michael Palermo, and Briarwood Investment Counsel/Michael Scott and Co., Respondents. Case Number: 98-00070 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: For Respondent, Briarwood Investment Counsel/ Michael Scott and Co.: For Respondent John Michael Palermo: Joseph Soderberg

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Elizabeth Beisner vs. Case No. 98-00068 Names of Respondents Westrock Advisors, Inc. Greg Martino REPRESENTATION Claimant Elizabeth Beisner ("Claimant") appeared pro se. For Respondents Westrock Advisors, Inc. ("Westrock") and Greg Martino ("Martino") (collectively "Respondents") appeared Robert A. Giacovas, Esq. of the law firm of Lazare Potter

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00066 Frank Saitta, claimant vs. ChaseMellon Shareholder Services and Smith Barney, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - San Jose, CA. For respondent Smith Barney Inc., appeared Ann Parry, Esq., - New York, NY., For respondent ChaseMellon Shareholder Services appeared Hugh Ross, Esq., - Ridgefield Park, NJ. DATE FILED: 1/7/98 CASE SUMMARY: Claimant alleged failure to execute. Cl

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Alexander Egger Ivy Egger vs. Case No. 98-00065 Name of Respondents Victor Perri L.T, Lawrence Securities Corp. REPRESENTATION For Claimants Alexander Egger ("Egger") and Ivy Egger (collectively "Claimants") appeared Hayward Richard Pressman, Esq. of the firm Pressman & Associates, located in New York, New York. For Respondent Victor Perri