AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between James J Pellicciotti and Sandra M. Pellicciotti, Claimants, vs. Barron Chase Securities, Inc. and Richard William Mailly, Jr., Respondents And No. 96-04949 Barron Chase Securities, Inc., Cross-Claimant, vs, Kurt Novey and I.S.N., Inc., Third Party Respondents. REPRESENTATION OF PARTIES James J. Pellicciotti and Sandra

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant William H. Stern 96-04948 Name of Respondents Bear Steams & Co., Inc. Austin Moscowitz , Coleman & Co., Inc. REPRESENTATION For Claimant William H. Stern ("Claimant") appeared Rand J. Levin, Esq. of the law firm of Robinson Silver inan Pearce, etal. located in New York, NY. For Respondent Austin Moscowitz ("Moscowitt") appeared Kristin Angelina, of Stua

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04946 Estate of Harry R. Zimmer, Sr., claimant v. Fifth Third Securities, Inc., Mark G. Srofe, Peter G. Bielan and Scott Degeberg, respondents. ATTORNEYS: Claimant appeared Pro Se through the executrix Samantha A. Howell - Cincinnati, OH. For Respondents Fifth Third Securities, Inc., Peter G. Bielan and Scott Degeberg appeared Fred L. Darlington, Esq., - Cinci

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Ottigen, Ltd. Claimant, and No. 96-04945 Dean Witter Reynolds, Inc. Respondent. REPRESENTATION OF PARTIES ^ Phillips arid Murray located in Dallas, Texas ^- , f M^VHTW^'^rr Respondent, Dean Witter Reynolds,Inc., ("Dean Witter") was represented by JanetEpsteiiftEsciuatepii ^~- in-house counsel for trie Respondents. CASE INFORMATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Albert E. Zacharias and Delbert Cunningham co-trustees of Albert E. Zacharias Living Trust 96-04944 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with National Association of Securities Dealers Regulation, Inc. on November 6, 1996 Claimants Albert E. Zacharias and Delbert Cu

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Terry Kay McCurdy, Trustee of the Scott M McCurdy Family Trust, Claimant, and Case Number: 96-04943 Leonard VandenBerg, Steven M. VandenBerg, VandenBerg & Associates, Inc. and Mutual Service Corporation, Respondents. Claimant Terry Kay McCurdy, Trustee of the Scott M. McCurdy Family Trust ("Claimant") was represented by Shawn Michael Got

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Proceeding Between May Financial Corporation, Claimant/Counterrespondent, Vs. Case Number: 01-02207 Granger Meadows, Ltd., Respondent/Counterclaimant/Third-Party Claimant, Vs. Northstar Securities, Inc., Matthew Winslow, Russell S. Tarbett, John W. Ferguson, and Scottsdale Securities, Inc., Third-Party Respondents. Hearing Site: Cleveland, Ohio

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Everen Securities 96-04939 Name of Respondent George Hew REPRESENTATION For Claimant Everen Securities ("Claimant") appeared Don Andrews, Esq., internal representation for Everen Securities located in Chicago, Illinois. Respondent George Hew ("Respondent") appeared pro se. CASE INFORMATION Claimant's Statement of Claim was filed on November 1, 1996.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Hinkle Contracting Corporation 96-04937 Name of Respondent J.J.B, Milliard & W.L. Lyons, Inc. REPRESENTATION For claimant Hinkle Contracting Corporation ("claimant") appeared its representative Henry Hinkle. For respondent J.J.B. Hilliard, W.L. Lyons, Inc. ("respondent") appeared its representative a

t NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Robert D. and Anne D. Lynch 96-04936 Name of Respondents Financial Investment Analysts, Inc. John S. Coffey REPRESENTATION For Claimants Robert D. and Anne D. Lynch ("Claimants") appeared Arnold Y. Steinberg, I£: Investors* Rights, Inc. located in Fort Lauderdale, Florida. For Respondents Financial Investment Analysts, In