AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Steven Olszewski, Claimant, v. No. 98-00315 PIM Global Equities, Inc., and Erin Meehan, Respondents. REPRESENTATION OF PARTIES Claimant Steven Olszewski ("Claimant") was represented by Delmer C. Gowing, III, Esq. and Robert R. Adler, Esq. of Delmer C. Gowing, III, P.A. located in Delray Beach, Florida. Respondent PIM Global Equities, Inc. ("

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Thomas R. Scott as Trustee for the Thomas R. Scott Trust and Bonnie K. Scott, as Trustee for the Bonnie K. Scott Trust vs. 98-00312 Name of Respondents Dean Witter Reynolds Inc. William Schramm REPRESENTATION Claimants Thomas R. Scott, as Trustee for the Thomas R. Scott Trust and Bonnie K. Scott, as Trustee for the Bonnie K. Scott Trust, ("Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05432 Summit Financial Services Group, claimant vs. Robert S. Rosch and Phyllis F. Rosch, respondents. ATTORNEYS: Claimant appeared through its Vice President, Christopher Maurer: Bethlehem, PA. Respondents appeared pro se: Summit, NJ. DATE FILED: December 7, 2000. CASE SUMMARY: Claimant alleged that in an attempt to transfer Respondents mutual fund account to Merrill Lynch, th

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert A. Weiss, MD vs. 98-00311 Name of Respondent Investors Associates, Inc. Michael DiFrancesca Glenn Edward Lavender REPRESENTATION Claimant Dr. Robert Weiss ("Claimant") was represented by Dickee M. Howard, Esq., Howard Butler & Melfa, Towson, Maryland. Respondent Glenn Edward Lavender ("Lavender") was represented by Robert Bertsch, Esq., P

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00310 J.W. Barclay & Co., Inc. , claimant vs. Jackie Rumph, respondent. ATTORNEYS: For Claimant appeared Theo S. Basis - New York, NY Respondent did not appear. DATE FILED: 1/26/98 CASE SUMMARY: Claimant alleged money owed on promissory note and debit balance in personal account. Claim Data Award Data Claim: $9,820.49 Award: $9,820.49 Interest

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Plumbing Solutions Ltd. Plumbing Solutions Ltd. Pension Plan vs. 98-00309 Name of Respondents Chris Jansen Thomas Casolaro REPRESENTATION For Claimants Plumbing Solutions Ltd. and Plumbing Solutions Ltd. Pension Plan (collectively "Claimants"): Jeffrey S. Abraham, Esq., New York, New York For Respondent Chris Jansen ("Jansen"): Louis Miron, Esq., W

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Craig P. McGuinn, II David Apetz 98-00307 Name of Respondents James Sheehan Shamus Group, Inc. REPRESENTATION Claimants Craig P. McGuinn, II ("McGuinn") and David Apetz ("Apetz"), (together "Claimants") appeared pro se. For Respondents James Sheehan ("Sheehan") and Shamus Group, Inc. ("Shamus"), together "Respondents") appeared Mitchell C. Elma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Stoll, Claimant v. HGI, Inc., Joseph J. Tuozzo, Walter St. Surin, Stephen Craig Palumbo, Mark Arthur Hanna, John Simonetti, Fiserv Correspondent Services, Inc. n/k/a/ Fiserv Securities, Inc., Respondents Case Number: 98-00302 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant

AWARD i i NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Shawn Araghi v. Arbitration No. 98-00300 Name of Respondents Dakin Securities Corporation, Robert B. Hutchinson, Samuel D. Skinner, Gregory V. Palmer, Richard C. Casey and John H, Dakin REPRESENTATION For Claimant: • Steven Miller, Esq. Law Offices of Steven Miller Encino, California For Respondent Dakin Securities Corporation an

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Paul R. Gallo and Mary M. Gallo vs. Case No. 98-00299 Name of Respondents Sterling Foster & Co., Inc. James Walsh REPRESENTATION Claimants Paul R. and Mary M. Gallo ("Claimants") appeared pro se. Respondent Sterling Foster & Co., Inc. ("Sterling Foster") did not enter an appearance in this matter. For Respondent James Walsh ("Walsh") David A. G