N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Berton Seltzberg 95-03470 Name_of_Resnondent Gabelli & Company, Inc. REPRESENTATION Claimant Berton Seitzberg ("claimant") appeared pro se. For respondent Gabelli & Company, Inc. ("respondent") appeared Dina F. Micalizio, Esq., Associate Counsel of Gabelli & Company, Inc. tr CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Ohio Company 95-03464 Name of Respondent Jack Wade REPRESENTATION For claimant The Ohio Company (''claimant") appeared Marion H. Little, Jr., Esq. of the law firm of Zeiger & Carpenter, located in Columbus, Ohio. Respondent Jack Wade ("respondent") did not appear at the hearing, CASE INFORMATION Statement of Claim w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James G. Cassani Award No. vs. 95-03462 Maine f Respondents © National Association O f Securities Dealers, Inc. .ntal & Co., Inc. Steven Querzoli All Rights Reserved REPRESENTATION For Claimant, James G. Cassani ("Claimant"), David Bunis, Esq. from the firm of Dwyer & Collota, located in Boston, Massachusetts.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ralph H. & Sylvia Price Residuary Trust by Elaine Grote. Trustee. Claimants. v. No. 95-03457 Olde Discount Corporation, and Brett M. Blasdel. Respondents. Associaijon of Dealers, Inc. REPRESENTATION OF PARTIES Claimant Ralph H. & Sylvia Price Residency Trust by Hlaine Grote, Trustee. ("Trust") was represented by Robert J. Bauman. Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joan Eaton 95-03452 Name of Respondent Paulson Investment Company Inc. REPRESENTATION For Claimant, W, Andrew Clayton, Jr., Esq., of The Clayton Law Firm, P.A., Sarasota, FL. For Respondent, Keith A. Ketterling, Esq. of Stoll Stoll Berne Lokting & Shlachter P.C., Portland, OR. CASE INFORMATION Statement of Claim filed J

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Hansraj and Kusuni Ashar Case No. 95-03450 Name of Respondents Berkeley Securities Corporation and Frank Ragusa CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. ("NASD Regulation") on July 17, 1995, Claimants Hansraj and Kusum Ashar ("Claimants"), who were

AWARD NASD Regulation, Inc. Office of Dispute Resolution- Inthe Matter of the Arbitration Between William Kohler Claimant, v. No. 95-03441 South Richmond Securities, Inc. and John T McMahon Respondents. REPRESENTATION OF PARTIES Claimant William Kohier ("Claimant' 1 ) was represented by Jeffrey D. Kangas, Esq. of Livonia, Michigan. Respondent John T. McMahon ("McMahon") was represented by David Crystal, II, Esq. of Gilbride,

JUN. 1.1993 8:02AM NASD REGULATION FL N0.249 P.11 N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between James D. and Anne E, Belt 95-03439 Charles JL Varoekc, Jr. J. Gregory & Company, Inc. Nicholas Salerno For Claimants: Richard Graner, Esq. of the Law Offices of Groner, Schieb & Currie, Sarasota, FL. For Respondent Charles R. Varaeke, Jr.: William Kline, Esq., Sara&ota, FL. For Responden

Award NASD In the Matter 01 tne Arbitration between: Names of the Claimants Case Number: 00-05310 Arturo E. and Joanna M. De Matheu Names of the Respondents Hearing Site: Boca Raton, Florida Daniel Techera R. Cabezas R.K. Grace & Company John D. Kaweske Marc L. Abramson REPRESENTATION OF PARTIES For Arturo E. and Joanna M. De Matheu ("De Matheu"), hereinafter referred to as "Claimants": Robert B. Macaulay, Esq., Mitrani, Rynor, Adams

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Palumbo 95-03437 Name of Respondent Fidelity Investments Institutional Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1995 Claimant Robert Palumbo ("Claimant"), who appeared Pro Se, alleged that he held account #117-281-220 with Respondent Fidelity Investment