N.A.S.D. REGULATION AWARD NATIONAL ASSCCIATIQN OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04540 Milton K. & Sylvia G. Welson, Individually and as Trustees - The Milton K. Welson Family Trust and The Sylvia Welson family trust, claimants v. Smith Barney Shearson, Inc. and Richard A. Eckstein, respondents. ATTORNEYS: For Claimants James D. Keeney, Esq., Sarasota, FL. For Respondents Rohan Barnett, Esq. in-house counsel for Smith Barney - New

U >.'-> N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04530 Nagel Family Trust, claimant vs. Piper Jaffray, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se through its trustees, Kenneth & Rachel Nagel. For Respondent Todd A. Noteboom, Esq., of the firm Leonard, Street and Deinard, Minneapolis, MN DATE FILED: October 11, 1996 CASE SUMMARY: Claimant alleged misrepresentation and omissions

•:0 V v ' : ; ' 0 v \ \ AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) E. John and Ruth Gillis Arbitration No. #96-04528 Name of Rcspondent(s) Dean Witter Reynolds, Inc. Rick DeFreez REPRESENTATION For Claimants: Timothy A.. McKeever, Esq., Faulkner, Banfield, Doogan & Holmes, Anchorage, Alaska For Respondents: ~~Timiri"A7^V

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between George H. Baldwin, Jr., and George H. Baldwin, Jr. Revocable Trust, Claimants, and No. 96-04527 D.H. Blair & Co., Inc. and Craig Webber, Respondents. REPRESENTATION OF PARTIES Claimants, George H. Baldwin, Jr, ("Baldwin 1 *) and George H. Baldwin, Jr. Revocable Trust (hereinafter collectively referred to as "Claimants"), were represe

N,A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04525 Olde Discount Corporation, claimant y. Geraldine B. Myers, respondent. ATTORNEYS: For Claimant Steven D. Carby, Esq. in-house counsel, Detroit, MI. Respondent appeared Pro-se - Atlantic Beach, FL. DATE FILED: October 11, 1996. CASE SUMMARY: Claimant alleged that claimant's account was improperly credited by journal entry and respondent withdrew t

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Berel Light Sarah Light Nochber Corp. Cabot Consulting, Inc. vs. Case No. 96-04512 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Abraham I. Fishweicker William Hall REPRESENTATION For Claimants Berel and Sarah Light ("Light"), Nochber Corp. ("Nochber"), and Cabot Consulting, Inc. ("Cabot") (collectively "Claimants") appe

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Barry Brenner and Madeline McCarthy, as Successor Trustees for Mary Brenner Trustee UAD 5/7/84 FBO Maiy Brenner Trust, and Mary Brenner Trustee UAD 5/7/84 FBO Joel Brenner Trust 96-04508 Names of Respondents Dean Witter Reynolds, Inc. John G. Forrester, Jr. REPRESENTATION For Claimants: Scott L. Warftnan, Esq. of Nortman, Bloom & Warftnan, P.A

NASD REGULATION, INC. MODIFIED AWARD In the Matter of the Arbitration Between Name of Claimant Bill Poznik vs. Case No. 96-04506 Name of Respondent Daniel M. Porush Stacey Yonkus Steven P. Sanders Stratton Oakmont, Inc. REPRESENTATION For Claimant Bill Poznik ("Claimant") appeared John R. Blake, Esq. of the law offices Bowditch & Dewey, located in Worcester, Massachusetts. For Respondent Daniel M. Porush ("Porush") appeared M

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William T. McGann 96-04505 Name of Respondents VTR Capital, Inc. L.C. Wegard & Company, Inc. Marc A. Varricchione CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 10, 1996, claimant William McGann ("claimant"), who appeared Pro Se, alleged that respondents V

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Ninnhpr- 01-02160 HyeK.Park Name of thp Respondents Hearing Site- Washington, D.C. Prudential Securities, Inc. and James W. Puree, Jr. RKPRFSFNTATTON OF PARTIES Claimant Hye K. Park, hereinafter referred to as "Claimant", was represented by Ford C. Ladd, Esq., Law Offices of Ford C. Ladd, Alexandria, Virginia. Respondents Prudential Securities,