AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Kim D. Pavlik, Claimant, and No. 96-02786 ^Nationwide Securities Corp., Southwest Securities, Inc., Peter C. Restivo, Thomas DeCeglie, Kevin B. Williams, Joseph R. Huff, Respondents. ^________ * REPRESENTATION OP PARTIES • ' : ' • • • • • ' . . • \ , • . .

-LA AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Precision Associates, Inc. and 96-02782 Name of Respondent John G. Kinnard and Company, Inc. Lehman Brothers, Inc. REPRESENTATION OF PARTIES Precision Associates, Inc. ("Claimant") vvasrepresenteftfey Mark J. Briol, Esq., Bnol & Associates^ Minneapolis,Minnesota. , : ,s, i; x?, John G. Kinnard and Com

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Anna M. and Anthony T. Perna 96-02771 Name of Respondents Nicholas P. Barbieri Quick & Reilly, Inc. REPRESENTATION Claimants Anna M. And Anthony T. Perna ("Claimants") were represented by Anthony J. Horn, Esq., Philadelphia, PA. Respondents Nicholas P. Barbieri ("Barbieri") and Quick & Reilly, I

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Sholom and Jeanie Joshua, JTWROS NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-02770 Name of Respondents Quick & Reilly, Inc., Robert W. Bayliff, Steven Parker, David T. Hoppers, Javier Reyes REPRESENTATION For Claimants: Sholom Jos

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants James and Dolores Cutia 96-02765 Name of Respondents The Codrick Financial Group, Inc. Joseph Codrick For Claimants James and Dolores Cutia ("Claimants") appeared Terrence P. Tormey, Esq. of the firm Bethany Commons, located in Hazlet, New York. Respondents Codrick Financial Group ("CFG") and Joseph Codrick ("Codrick") (collect

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William and Margaret K. Aurilio 96-02763 Name of Respondents Joseph Bonetti Ron Bozan John Margiotta CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 5, 1996, claimants William and Margaret K. Aurilio ("claimants") who appeared Pro Se through, William Aurilio ("claimant"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paulson Investment Company Inc. 96-02762 Name of Respondent Michael Grayson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 27, 1996, claimant Paulson Investment Company, Inc. ("claimant"), who appeared through its representative, Gary M. Berne, Esq., of the law firm of Stoll Bern

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Phyllis Victor Diesel 96-02760 Name of Respondent(s) Invest Financial Corp. Michael J. Acierno REPRESENTATION For Claimant Phyllis Victor Diesel ("Diesel"): Daniel S. Herman, Esq. of the law office of Daniel S. Herman, Aventura, FL. For Respondents Invest Financial Corp. ("Invest") and Michael J. Acierno ("Acierno"): Euge

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Paine Webber, Inc., Claimant, and No. 96-02756 Harold C. Kaffie, Jr., Gregory D. Goodman, Walter P. Thompson, Corporate Securities Group, Inc., and Kaffie Goodman & Thompson, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Paine Webber, Inc. was represented by Joel Held, Esquire of Arter & Hadden, located in Dallas, Texas. Respondents

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William H. Bode, (Claimant) vs. Salomon Smith Barney, Inc., Martin M. Gray, and John Williams, (Respondents) Case Number: 00-05093 Hearing Site: Washington, B.C. REPRESENTATION OF PARTIES Claimant, William H. Bode, hereinafter referred to as "Claimant": Richard S. Kraut, Esq., Dilworth Paxson, PLLC, Washington, D.C. (Mr. Kraut was with the law firm of Storch & Brenner LLP,