Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jimmy N. Walker, Claimant v. Marc Weisman, Nick Solomon and Gruntal & Co., Respondents Case Number: 99-01268 Hearing Site: San Diego. California REPRESENTATION OF PARTIES For Claimant: . Richard L. Finegold, Esq. Jones, Penfield, Harden, Finegold & Polakiewicz San Diego, California For Respondent Marc Weisman: Andrew W. Sidman, Esq. Butler, Fitzgerald & Potter New York

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Thimi Pappas Case No. 99-01266 Name of Respondent Wheat First Securities, Inc. REPRESENTATION OF PARTIES Claimant, Thimi Pappas ("Claimant") was represented by Melvin E. Caine, Attorney at Law, Media, PA. Respondent, Wheat First Union f/k/a Wheat First Butcher Singer ("Respondent") was represented by Brian A. Cariis, Esq, of the law firm of Start & Star

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Claimants The Guy B. and Nadine C. Kegley Trust The Smith Trust v. NASD Case No. 99-01265 Hearing Location: Washington, D.C. J.C. Bradford & Co. Randy H. Sanders REPRESENTATION OF PARTIES Claimants The Guy B. and Nadine C. Kegley Trust ("The Kegley Trust"), Nadine C. Kegley, Trustee ("Kegley") and The Smith Trust, Dorothy J. Smith, Trustee ("Smith"): Marvin L, Szymk

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James E. Bergeron vs. Case No. 99-01264 Name of Respondent Charles M. Bowles REPRESENTATION OF PARTIES Claimant, James E, Bergeron, hereinafter referred to as "Claimant": Douglas R. Lally, Esq., Jenkintown, Pennsylvania. Respondent, Charles M. Bowles, hereinafter referred to as "Respondent," did not appear. CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Louisa Lazzinnaro Trust (Claimant) vs. Joseph Langer, Investors Associates, Inc., Herman Epstein, and Schneider Securities, Inc., (Respondents) vs. Massimo Lazzinnaro and Mary Jane Lazzinnaro (Third-Party Respondents) Case Number: 99-01258 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Louisa Lazzinnaro Trust, hereinafter referred to as "Claimant": Kevin T

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03413 Thomas R. Martin, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: Claimant, Thomas R. Martin, ("Claimant"), appeared Pro Se., Pompano Beach, FL. Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared through its in-house counsel Ellen Sheridan-Cona, Esq., New York, NY. DATE FILED: August 8, 2000. CASE SUMMARY: Claimant a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Adrian Sangeorzan (Claimant) vs. Astley Montague and Josephthal & Co., Inc., (Respondents) Case Number: 99-01256 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Adrian Sangeorzan, hereinafter referred to as "Claimant": Adam J. Greenberg, Esq., Sobol & Greenberg, P.C., New York, New York. Respondent, Josephthal & Co., Inc. ("Josephthal"): John E. Bersin, Esq., Asso

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert J. Smith, Claimant v. Charles Schwab & Co., Inc. and Richard Dennis Sanford, Respondents. Case Number: 99-01255 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: G. Mark Brewer, Esq. The Brewer Law Firm San Diego, California For Respondents: Karl A. Cole-Frieman, Esq. Charles Schwab & Co., Inc. San Francisco, California C

NASD NASD Re 9 ulation ' |nc - Office of Dispute Resolution REGULATION 125 Broad Street' 36th Floor * New York. NY 10004-2193 * 212-BS3-4400 * Fax 212-856-4389 An NASO Compary Satellite Office at: 1735 K Street * 4th Floor * NW * Washington. DC 20006-1506 ' 202-728-8958 'Fax 202-728-6952 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01254 A.S. Goldmen & Co., Inc., claimant vs. Vincent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Be Thin Medical Weight Loss, Corp., Claimant v. Sunpoint Securities, Inc., Matthew J. Beaulieu, Gary Waye, H, Van Roberson Lewis, HI, Brett William Hagen, Donald L. Katz, and Dianne B. Childers, Respondents Case Number: 99-01251 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Be Thin Medical Weight Loss, Corp. For Respondent Sunpoint Securi