Arbitration No. 94-00455 AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant(g) Harry Jameson Name of Respondent(s} Thomas James Associates, Inc. Barbara S. Miller Michelle K. Reichert Dave Kleber Michael G. Gomez James Villa REPRESENTATION For Claimant: Gene G. Harter, Esq., Los Angeles, California For Respondents: Peter H. Abdella, Esq., Harter, Secrest & Emery, Rochester, New York

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between CHARLES W. CHEVALLEY and LEILA M. CHEVALLEY, Claimants, v. NASD No. 94-114 GLENFED BROKERAGE SERVICES, W. TRENT GIEHLER and GLENDALE FEDERAL BANK, Respondents. Representation For Claimant: Jeffrey D. Classon, Esq., of Christensen, Bacigalupi & Barrus, Fresno, California For Respondents: Joel Dwork, Esq., of Howard Everakes & Associates, Glendale

AWARD NASD REGULATION. TNC!.. QPPTCH OF DISPUTE RESQ1 JJTTQN In the matter of the Arbitration Between NBt Estate of Terry M. Heller, Judith Heller, Executrix, (#94-00512) C Paul Morrow, (#94-00513) Conley Lacey. (#94-00516) Jon Cantalini, (#94-005 17) CONSOLIDATED v. CASES Reich & Co.. Inc. Gerard Mangiardi RRFRBSENTATICffl For Claimants: Jonathan T. Zackey, Esq., Bcllevue, Washington For Respondent Reich & Co.. Inc.: Eric Sh

AWARD NASD REQtTLATtnN. INC.. OFFICE OF PTSPTITE RESOLUTION In the matter of the Arbitration Between Nfltflp of PlnJinfltltfiri Estate of Terry M. Heller, Judith Heller, Executrix. (#94-00512) C Paul Morrow, (#94-00513) Conley Lacey. (#94-00516) Jon Cantalini, (#94-00517) CONSOLIDATED v. CASES ofR Reich & Co., Inc. Gerard Mangiardi For Claimants: Jonathan T. Zackey, Esq., Bcllcvue, Washington For Respondent Reich & Co.. Inc.

AWARD NASD REfKJLATTQN. TNE.. QPPTCB Off PTSPUTB RESOLUTION In the matter of the Arbitration Between Estate of Terry M. Heller, Judith Heller, Executrix, (#94-00512) C Paul Morrow, (094-00513) Cooky Lacey, (#94-00516) Jon Cantalini, (#94-005 17) CONSOLIDATED v. CASES Reich & Co., Inc. Gerard Mangiardi For Claimants: Jonathan T.Zackey, Esq., Bcllevue, Washington For Respondent Reich & Co.. Inc.: Eric Shames, Esq., Fahnestock & Co., Ne

AWARD N ASP RBfflTLATfQN 1 TNr.. OFFICE QP rflSPUTE RESO In the matter of the Arbitration Between Estate of Terry M. Heller, Judith Heller, Executrix, (#94-00512) C Paul Morrow, (#94-00513) CoaleyLacey, (#94-00516) Jon Cantalini, (#94-00517) CONSOLIDATED v. CASES Majjne of Respondent^ al Reich & Co., Inc. Gerard Mwgiaidi For Claimants: Jonathan T. Zackey, Esq., Bellevue, Washington For Respondent Reich & Co.. Inc.: Eric S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward N. Schwartz and Jeanine Schwartz, (Claimants) v. JW Charles Securities, Inc., a/k/a JW Genesis Securities, Inc., n/k/a First Union Securities Financial Network, Inc., Andrew Vuksic, James Caterina, Thomas Holly, Eric Lyon and Mike Roberts, (Respondents) Case Number: 01-02931 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Edward N. Schwartz (E

N.A.S.D. AWARD 7 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants First Albany Corporation 94-00282 Name of Respondents Obel H. Wells IMflPRFSENTATION For Claimant: Jack D. Harvey, Esq. of Harvey and Harvey, Harvey & Mumford, Albany, New York. For Respondent: Obel H. Wells represented himself. CASE INFORMATION Statement of Claim filed: December 28, 1993. Claimant's Submissi

NASD Case No. 94-00280 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Richard P. Zizan Name of Resoondent(s) Hibbard Brown & Co., Inc. Chris Vukich REPRESENTATION For Claimant Richard P. Zizan ("Zizan") appeared Bruce E. Baldinger, Esq., of Baldinger & Levine located in Somerville, New Jersey. Respondent Chris Vukich ("Vukich") appeared pro se. There is a bank

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald R. and Mavis M. Scott 94-00278 Name of Respondents Kennedy, Cabot & Company Gruntal & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1994, Claimants Ronald R. and Mavis M. Scott, who appeared Pro Se, alleged that they purchased 3000 shares of Pantheon