JftN.24.1999 10:i0flM NO.776 AWARD NASD Regulation, Inc. P. 14 In the Matter of the Arbitration Between Name of Claimant Loretta M. Whalen NASD CASE NO. 98-00461 N Names of Respondents Pennsylvania Merchant Group, Ltd,, David Callan and William B. Fretz REPRESENTATION For Claimant: Robert Dyer, Esq. of Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A., Orlando, Florida. For Respondent Pennsylvania Merchant Group, Ltd. ("PMG")

AWARD. NASD Regulation, Inc. In the Matter, of the Arbitration Between Name of Claimant Tim Ashner and 98-00456 Kansas City, Missouri Name of Respondents Bear Steams & Company Peter Marc Kaufman Marc Alan Luxenberg Salvatore Tacher Kensington Wells Inc. Adam Drew Levy REPRESENTATION OF PARTIES Tim Ashner ("Claimant") was represented by Paul D. Sinclair, Esq., Sinclair, Sawyer, Thompson, Haynes & Cowing, P.C., Kansas City,

fe—_ Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard 0. Weese, Claimant vs. First of Michigan Corp., Respondent. Case Number: 98-455 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, RichardO. Weese ("Claimant"): Joel H. Kaufman, Esq., FarmingtonHills, Michigan. Mr. Kaufman filed an appearance on or about October 4, 1999. Previously Claimant appeared pro se. Respondent, First of Michigan Corp. ("Respon

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between . Names of Claimants = • ' Libro Ferrero Audrey Ferrero 98-00454 Names of Respondents Dean Witter Reynolds, Inc. Herman Harris Held REPRESENTATION For Claimants Libro and Audrey Ferrero: John C. Kelly, Esq. of Ackerman, Link & Sartory, P.A., West Palm Beach, Florida. For Respondents Dean Witter Reynolds, Inc. ("DWR") and Herman Harris Held ("Held"): Joseph C. Co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Krystyna U. Kaszubowski, Claimant v. Dean Witter Reynolds Inc., Respondent. Case Number: 98-00453 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent: William W. Bloch, Esq. William Bloch & Associates, LLP Beverly Hills, California Timm A. VerDuin, Esq. Dean Witter Reynolds Inc. SanFransisco, California CASE INFORMAT

AWARI> NASD Regulation, Inc. In the Matter of the Arbitration Between. Name of Claimant Jerry L. Womack and Case Number 98-00448 Name of Respondent Foster Jeffries Securities Corporation REPRESENTATION OF PARTIES Jerry L. Womack (hereafter referred to as "Claimant") appeared pro se. Foster Jeffries Securities (hereafter referred to as "Respondent") was represented by Debra M. Snyder, Esq. of Goldstein & DiGioia, LLP, located in New York, New

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00445 Alice Boote, claimant vs. Murphey, Marseilles, Smith & Nammack, Inc^ respondent. ATTORNEYS: For claimant appeared Thomas J. Canavan, Jr., Esq. - Manhasset, NY. Respondent did not appear. DATE FILED: 2/4/98 CASE SUMMARY: Claimant alleged failue to pay commissions. Claim Data Award Data Claim: $7,561.00 Award: $7,561.00 Interest: Requested Inte

flPR.13.1998 7 = 3EfiM NflSD REGULATION PL NO,320 P.A N.A.S.D. AWAKD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between of Claimants J. C. Bradford & Co. JohnR. Schwartz Name 98-00439 consolidated with 98-00451 Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For CUimaDt J.C. Bradford & Co. ("Bradford"): Linda Gibbons Willis, Esq., Associate General Counsel, J.C. Bradford &. Co., Nas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Iain Horsburgh, Steven W. McConnell and Gerald N. Daffner (Claimants) vs. Ridgewood Capital Funding, Inc. and William Potter (Respondents) Case Number: 98-00429 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Iain Horsburgh ("Horsburgh"): Catherine A. Helwig, Esq., Snow Becker Krauss P.C., New York, NY. Previously represented by: Gerald N. Daffner, Esq., L

AWARD NASD Regulation, Inc. CASE: 98-00427 Thomas Jauss and Joan Jauss, claimants vs. William Scott & Company, LLC and Joseph Losacco, respondents. ATTORNEYS: Claimants appeared Pro Se, Bedford, MA. Respondent Joseph Losacco failed to respond to the Statement of Claim. DATE FILED: February 3, 1998 CASE SUMMARY: Claimant alleged respondent failed to execute a stop loss order for shares of U.S. Diagnostic Inc stock. Claim Data Award Data C