N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ralph and Eleanor Krassow NASD CASE NO. 96-05297 Name of Respondents JW Charles Securities, Inc. and Paul Allmann REPRESENTATION For Claimants: Jerome A. Pivnik, Esq. of Pivnik & Nitsche, P.A., Miami, Florida. For Respondents JW Charles Securities; Inc. ("JW Oiarles") and Paul Allmarm ( M Mlmann w ): Gregdty

NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(si Janet Yip Arbitration No. 96-05294 Name of Respondent(s) Smith Barney Shearson Inc. Philip W. Holmes REPRESENTATION For Claimant: Robert W. Rychlik, Esq., Cupertino, California For Respondents: Sean J. Coughlin, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: November 26, 1996

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Jack Aronowitz v. Arbitration No. 96-05293 Name of Respondents Gilford Securities, Inc., Martin Rabovich, and Stephen DeGroat REPRESENTATION For Claimant: Michael A. Lotman, Esqi 1 - > " : Law Office of Michael A. Lotman Los Angeles, California For Respondents: Joel Levinson, Esq. ; r - ^ : ^

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Voula and Constantine Salonitis Case No. vs. 96-05292 Name of Respondents State Street Capital Markets, Inc. George Christodoulou REPRESENTATION For Claimants Voula and Constantine Salonitis ("Claimants") appeared Raymond A. Connell, Esq., of the law offices of McMahon & Connell, PC, located in New York, New York. For Respondent State Street Capita

AWARD NASD REGULATION. INC.. DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Minnie Joyce Napier Award #96-05291 vs. Name nf Respondent Olde Discount Corporation REPRESENTATION For Claimant: Gary J.Lekas, Esq., Portland, Oregon ' . ^ ; For Respondent: Amy, Richards, Esq., Olde Discount Corporation, Detroit, Michigan CASE INFORMATION Statement of Claim filed: November 27, 1996 Amended Claim

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Clifford Lamm Arthur Lamm 96-05274 Name of Respondents Jameson, Dewitt and Associates, Inc. REPRESENTATION For Claimants Clifford and Arthur Lamm ("Claimants") appeared Patrick W. Begos, Esq., of the law office of Molton and Meekins, located in New York, New York. For Respondent Jameson, Dewitt, and Associates, Inc. ("Respondent") appeared Stewart Barnes,

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05271 Otto H. Hofmann and Waltraut F. Hofmann, claimants vs. H.J. Meyers & Co. Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Millbrae, CA. For Respondent appeared Paul J. Delmo< e, Esq., of the firm Edwards, Sooy & Byron, San Diego, CA. DATE FILED: November 26, 1996. CASE SUMMARY: Claimant alleged that as a result of fraudulent statements and promi

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Harold B. Hughes, Claimant, and No. 96-05270 Brokers Investment Corp., Daniel H. Steinberg, Norman Shubert, Martin W, May, Thomas Steven Shubert, and Michael Grossman, Respondents. t. IREPRESENTAtlON OF PARTIES Claimant, Harold B. Hughes, was represented by Martin J Gofberg of Securities Arbitration Centers,! Incorporated, located in Fort La

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name Seslia Securities, Inc. Name of the Respondent US Clearing Corporation i- 01-02238 Hearing Site- Philadelphia, Pennsylvania RF.PRF.SiFNTATTON OF PARTTF.S Claimant Seslia Securities, Inc., hereinafter referred to as "Claimant", was represented by Barry R. Hill, Esq., Hill & Fischer, P.C., Syracuse, New York. Respondent US Clearing Corporation, hereinafter referre

ORDER/AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bancstar, Inc., and Its Subsidiary Banks, Bank of the Leadbelt, Bank of the Bootheel and Bancstar One (Formerly First National Bank of Callaway County) and 96-05268 Name of Respondent First St. Louis Securities, Inc. REPRESENTATION OF PARTIES Bancstar, Inc., and Its Subsidiary Banks, Bank of the Leadbelt, Bank of t