Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alexander Chetcuti, Kenneth Lerg, Michael Chetcuti, et. al., Claimants vs. Gary Callas, G.R. Stuart & Company, Inc., et. al, Respondents. Case Number: 96-5126 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Alexander Chetcuti, Kenneth Lerg, Michael Chetcuti, and Evelyn Chetcuti Living Trust, hereinafter collectively referred to as "Claimants)": Charles E. Murphy,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Treit, Ltd. and W. James White, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and William Durham, (Respondents) Case Number: 01-02232 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Treit, Ltd. ("Treit") and W. James White ("White"), hereinafter collectively referred to as "Claimants": Edward G. Bailey, Esq. and Jeff Sherman, Esq., Bailey & Sherma

f NATIONAL ASSOCIATION OF SECURITIES DEALERS DONALD AND MARILYN SLITER, Claimants, v. NO. 00-00813 FIRST MIDWEST SECURITIES, INC,, a member of the NASD, INC., and TIMOTHY B, WAITERS, an individual, Respondents. STIPULATED AWARD REPRESENTATION Claimants were represented by Robin Wolkoff of Patzik Frank & Samotny, located in Chicago, Illinois. Respondents were represented by David Baugh of the law firm of Kovitz Shifrin & Waitz

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jan and Patricia VanVoorhis, Claimants, v. No. 96-05123 Bentley-Lawrence Securities, Inc., and Larry VanBuskirk, Respondents. REPRESENTATION OF PARTIES Claimants Jan and Patricia VanVoorhis ("Claimants") were represented by Gary M. Saretsky, Esq. and Karen A. Gould, Esq. of Hertz, Schram & Saretsky, P.C. located in Bloomfield Hills, Michigan

V NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Doris S. Dana 96-05118 Names of Respondents Smith Barney, Inc. and William Leach REPRESENTATION OF PARTIES For Claimant: Julie E. Fox of the law firm of Ackerman Link & Sartory, West Palm Beach, FL. For Respondents Smith Barney, Inc. ("SB") and William Leach ("Leach"): Christopher B. O'Malley, Esq. of Smith Barney, Inc., New Y

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant George Frangias 96-05117 Name of Respondents PaineWebber, Inc. Gk"Ji F. O'Neill REPRESENTATION For claimant George Frangias ("claimant") appeared Richard W. Vallario, Esq., with-law*offices in Nutley, New Jersey. :".u!cy, Nc, 1 . For respondents PaineWebber, Inc. ("PW") and Glenn F. O'Neill (O'NeiU) (collectively "respondents") appeared Lisa Catalano

•':•"? v / " ' •- / I 6 ^ ' ^ ' 6 AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Kimberly Leonoudakis and Carol Garnant, as Executrices of the Will of Francis M. Crotty, Deceased v. Arbitration No. 96-05116 Name of Respondents Mark A. Erskine and Prudential Securities, Inc. For Claimants: For Respondent Mark Erskine: For Respondent Prudential Securities

* f NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Max Gamzon 96-05115 Name of Respondents Global Trading Group Michael Domin -*• Securities Service Network, Inc. REPRESENTATION For Claimant Max Gamzon ("Claimant") appeared David E. Robbins, Esq. of the law firm Kaufmann, Feiner, Yamin, Gildin & Robbins, LLP located in New York City, New York. Respondent Global T

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dana G. Frye 96-05112 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Tish Keppell George Baskerville, III REPRESENTATION Claimant Dana G. Frye ("Claimant") was represented by Stephen W. Streep, Esq., Earlysville, VA. Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. ("Merrill Lynch"), Tish Keppel

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Stanley Zacharski and Jackie Caldwell, Claimants, and No. 96-05 109 Barren Chase Securities, Inc. and Craig Gallegos, Respondents. REPRESENTATION OF PARTIES For Claimants: Stanley Zacharski ("Zacharski") and Jackie Cilldwell ("Caldwell") (hereinafter collectively referred to as "Claiinants") were represented by Jennifer A. Cons, Esq. of ISaveHe&egair