N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05267 A.G. Edwards & Sons, Inc., claimant v. Michael Whalen, respondent. ATTORNEYS: For Claimant Appeared Norman S. Buckvar, Esq. - St. Louis MO. Respondent appeared Pro Se - Hingham, MA. DATE FILED: 11/26/96 CASE SUMMARY: Claimant alleged failure to reimburse for educational expenses pursuant to the Sales Assistant Agreement and Supplementary Training

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05265 Ken Roper, claimant v. Everen Securities and Steve Laden, respondents. ATTORNEYS: For Claimant Gary M. Fuller, Esq. - Reno, NV. For Respondents Don Andrews, Esq. in-house counsel - Chicago, IL. DATE FILED: November 26, 1996. CASE SUMMARY: Claimant alleged lack of suitability, breach of fiduciary duty, negligence and failure to execute in the

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Hansel M. DeBartolo; H.M. DeBartolo, Jr. MDSC Pension Plan & Trust 96-05261 Name of Respondents Tucker Anthony Incorporated; and Patrick Yun REPRESENTATION For Claimants: Hansel M. DeBartolo ("DeBartolo") and the H.M. DeBartolo, Jr. MDSC Pension Plan & Trust ("Trust") were represented by Paul J. Sussm

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05259 Abraham Branitzky, claimant vs. Patterson Travis, Inc. and Robert E. Lee, respondents. ATTORNEYS: For Claimant appeared James E. Beckley, Esq., of the law firm James E. Beckley & Associates, Wheaton, IL. For Respondents appeared Anthony J. Morano, Director of Compliance, New York, NY. DATE FILED: November 26, 1996. CASE SUMMARY: Claimant alleged frau

,A AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Laura Nell Mitchell, Claimant, and No. 96-05256 Merrill Lynch Pierce Fenner & Smith, Inc., J. Michael Sealy and Joanne G. Sealy, Respondents. REPRESENTATION OF PARTIES Claimant, Laura Nell Mitchell, was represented by Zeblin G. Pearson, Esquire of Dallas, Texas. Respondents, J.Michael Sealy and Joanne G. Sealy appeared pro se in these proceed

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between PaulR. Eberle v. Arbitration No. 96-05253 Name of Respondents John Puglisi, Herman Epstein, and Investors Associates, Inc. REPRESENTATION For Claimant: InProPer Cbl Topanga, California For Respondent: M. David Sayid, Esq; t- e Sayid and Associates Hackensack, New Jersey CASE INFORMATION Statement of Claim filed: November 26, 199

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Fusco, Jr. 96-05251 Names of Respondent^ William Blair & Company, LLC, and, Kelly T. Goalby REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, Florida. For Respondents: Lisa Aidlin, Esq. of the law firm of Sorinenschein Nath & Rosenthal, Chicago, Illinois. CASE INFO

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Asha Bharath Krishnasarny and Ajit Bharath Krishnasarny v. Name of Respondent H. J. Meyers & Co., Inc. Arbitration No. 96-05247 For Claimantsr For Respondent: Statement of Claim filed: REPRESENTATION Robert-W-.-Haugan* Esq. Law Offices of David P. Christiansen Newport Beach, California Robert A.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between J.B. Unlimited, Claimant, and No. 96-05245 Prudential Securities, Inc., Michael Digan, Kingston Securities Corp., and Renee Kwait Rettig, Respondents. REPRESENTATION OF PARTIES Claimant, J.B. Unlimited, was represented by A. Frederick Schaffer, Esquire, located in ^Phoenix,, Respondents Prudential Securities, Incorporated and Michael Digan were repr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Oscar Zatz and Pearl Zatz Name of the Respondents Prudential Securities, Inc., and Barry S. Fisch Cas^Mimher: 01-02237 Hearing Site- Philadelphia, Pennsylvania RF.PRKSFNTATTON OF PARTTPS Claimants Oscar Zatz and Pearl Zatz, hereinafter collectively referred to as "Claimants", were represented by Douglas R. Lally, Esq., Attorney at Law, Jenkintow