AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants/Counter-Respondents Erwin Cohn and Bernice L. Conn 96-04321 NameofRespondents/Counter-Claimants/Third-Part\Claimants Shamus Group, Inc.; Shamus Capital Group, Inc.; Shamus Venture Capital, L.P.; Bishop Allen Inc.; Linda Anderson; Gregory Polowitz; Robert Furman; James P. Sheehan Name of Third-Respondent/Counter-Claimant Xenophen"John" Pateras REPRE

N.A.SJ). REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04314 William D. Baldwin, claimant v. Carlin Equities Corp. and Gale R. Donovan, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Los Angeles, CA. For Respondent Carlin Equities Corp. appeared Salvatore Risi - New York, NY. For Respondent Gale R. Donovan appeared Leon Reich, Esq. - Great Neck, NY. DATE FILED: 9/27/96 CASE SUMMARY: Claima

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECUMTEES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimants William T. & Helen W. Sutherland Sutherland Family Trust 96-04311 Name of Respondents State Capital Markets Corporation Vijay A. Sud REPRESENTATION Claimants William T. and Helen Sutherland, individually ("Sutherlands"), and as co-trustees of the Sutherland Family Trust ("Trust") were represented

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert E. Stanley 96-04307 PaineWebber, Inc. Kevin R. Katterhenry REPRESENTATION Claimant Robert E, Stanley ("claimant") appeared pro se. For Respondents PaineWebber, Inc. and Kevin R. Katterhenry ("Katterhenry") appeared Hector Becil, Esq. of PaineWebber, Inc. CASE INFORMATION Statement of Claim filed on August 5, 1996. Claimant's Submission Agreem

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04306 Olde Discount Corporation, claimant v. Barry & Leanne Raymond, respondents. ATTORNEYS: For Claimant appeared Steven D. Carby, Esq. - Detroit, MI. For Respondents appeared Robert D. Charleston, Esq. Bala Cynwyd, PA DATE FILED: 9/27/96 CASE SUMMARY: Claimant alleged failure to pay debit balance in account after sale of stock. Claim Data Award Data

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael T. Lucas, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 01-02143 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Michael T. Lucas: Philip A. Kramer, Esq. Kramer & Kaslow, PC Calabasas, California For Respondent TD Waterhouse Investor Services, Inc.: John L. Erikson, Jr., Esq. Jones, Bell, Abbott, Fleming

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC* In the Matter of the Arbitration Between Name of Claimant Patrick A, Porter 96-04303 Name of Respondents Greenway Capital Corp. Peter Delbaso Jack Basile REPRESaENTATION Claimant Patrick A. Porter ("Claimant") appeared pro se. Respondents Greenway Capital Corp. ("Greenway"), Peter DelBalso ("DelBalso") and Jack Basile ("Basile") did not appear at th

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William C. and Lillian H. Wilkes 96-04299 Name of Respondents Euro-Atlantic Securities Inc. Michael Payne CASE SUMMARY In a case fiJed with the National Association of Securities Dealers Regulation Inc. on September 27. 1996, claimants William and Lillian Wilkes ("claimants"), who appeared Pro Se, alleged that respo

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Kenneth M. Demeter, Claimant. and No. 96-04297 Olde Discount Corporation, Michael G. McDonald, and Brent Walters, Respondents. REPRESENTATION OF PARTIES Claimant Kenneth M. Demeter ("Claimant") was represented by Laurence S. Schultz, Esq. and Michael T. Reid, Esq. of Driggers, Schultz & Herbst, PC located in Troy, Michigan. H ; Responden

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David L. Ebershoff and 96-04296 Name of Respondent Raymond, James & Associates, Inc. Lynwood T. Rand Stephen T. Kuhn REPRESENTATION OF PARTIES David L. Ebershoff ("Claimant") was represented by Francis V. Cristiano, Esq. and Richard A. Nervig, Esq., Cristiano & Nervig, Denver, Colorado. Raymond, James & Associates, Inc.