N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 96-03475 Name of Respondent Daniel J. Capozzi, III REPRESENTATION f Claimant Dean Witter Reynolds, Inc. ("Claimant") was represented by K. Stewart Evans, Jr., Esq., Pepper, Hamilton & Scheetz, Washington, DC. Respondent Daniel J. Capozzi, III ("Respondent") did not appe

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Louis M. Clements 96-03468 Name of Respondents John Liselli Salvatore Marasa Smith Benton & Hughes Robert Hanney REPRESENTATION Claimant Louis M. Clements ("Claimant") was represented by Bernard C. Daley, Esq., Law Offices of Joseph C. Daley, New York, NY. Respondents John Liselli ("Liselli") and Robert Hanney (

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Joseph A. Wojcik Mary J. Wojcik 96-03465 Names of Respondents A.S. Goldmen & Company, Inc. Stephen E. Sokoloff REPRESENTATION For Claimants Joseph A. Wojcik and Mary J. Wojcik ("Claimants") appeared William A. Jacobson, Esq. of the law firm Kaplan & Jacobson, Inc., located in Providence, Rhode Island and Pail P. Baillargeon, Esq., with law offices

'•~/\ i : I I NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Jean M. Donovan Dorothy M. Fess Nicholas Fess Case No. 96-03458 Name of Respondents Victor Verola Great American Financial Network, Inc., f/k/a Marina Securities, Inc. Timothy G.Gillis , ; Stephan S>. Buckley A. S,A. Investment Company REPRESENTATION OF PARTIES For Claimants Jea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mildred Zaslovsky, Carol Zaslovsky Rosenberg and Michelle Rosenberg NASD CASE NO. 96-03454 Name of Respondents Raymond James & Associates, Inc., Advest, Inc. and William K. Bunn REPRESENTATION For Claimants: Robert Dyer, Esq. of Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A., Orlando, Florida. For Respondents Advest,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Myrick Family Trust and 96-03451 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Myrick Family Trust ("Claimant") was represented by Thomas J. Herd, Esq., Gaddis, Kin & Herd, P.C., Colorado Springs, Colorado. Prudential Securities, Inc. ("Respondent") was represented by Charles B. LaChaussee, Esq., P

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Earl C. Townsend Claimant, and No. 96-03450 ^National City Bank, Indiana and National City Trust Respondents. REPRESENTATION OF PARTIES Claimant, Earl C. Townsend, Esquire of Indianapolis, Indiana, represented himself'during these proceedings. -'ee< H; Respondents, National City Bank, Indiana, and National City Trust were represented by'Hairy Joh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation 96-03442 Name of Respondent Todd W. Hedge REPRESENTATION For Claimant Paragon Capital Corporation ("Paragon"): Mitchell T. McRae, Esq. of Boca Raton, Florida. The Respondent Todd Hedge ("Hedge") appeared pro se (see "Other Issues"). CASE INFORMATION Statement of Claim filed: August 6, 1996.

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants') Larry Precipuo 96-03439 Name of Respondent(s) Josephthal Lyon & Ross Inc. Edward Knauer REPRESENTATION For Claimant Larry Precipuo ("Precipuo"): Delmer C. Gowing III, Esq. of Delmer C. Go wing III, P.A., Delray Beach, Florida. For Respondents Josephthal Lyon & Ross Inc. ("Josephthal") and Edward Knauer ("Knauer"): Robert Mur

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05156 Winnie Mok, claimant vs. Citicorp Investment Services, respondent. ATTORNEYS: Claimant appeared Pro Se, New York, NY. For Respondents appeared Jennifer Newman Sendor, Esq., in-house counsel, Long Island City, NY. DATE FILED: November 21, 2000 CASE SUMMARY: Claimant alleged that respondent placed an unauthorized sell-out order for 500 shares of Bighub.Com, Inc. Claim Da