NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas Swift 96-04267 Name of Respondents Redstone Securities, Inc. Thomas Laundrie Francesca Wolfsohn REPRESENTATION For Claimant Thomas Swift ("Claimant") appeared Neil A. Sussman, Esq., an attorney with offices in New York, NY; For Respondents Redstone Securities, Inc. ("Redstone") appeared David H. Ledgin, Esq., an attorney with offices in M

NASD REGULATION AWARD in the Matter of the Arbitration Between Name of Claimants Dost Mohammed Arahad AH 96-04260 Name of Respondents Whitehall Securities, Inc. Tanwir A. Khan For claimants Dost Mohammed ("Mohammed") and Arshad AH (*AU fl ) (collectively "claimants") appeared John-E. Lawlor, Esq., with Jaw offices located in Mineola, New York. For respondents Whitehall Securities ("Whitehall") and Tanwir A. Khan ("Khan") appeared Jcf

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Aaron Solomon 96-04257 Name of Respondents Tom Ishak State Street Capital Markets REPRESENTATION Claimant Aaron Solomon ("Claimant") appeared pro se. Respondent Tom Ishak ("Ishak") appeared pro se. Respondent State Street Capital Markets ("State Street") did not appear at the hearing in this matter. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between , Name of Claimants David E. & Barbara K. Puthoff 96-04256 Name of Respondents Maidstone Financial Inc. Hillcrest Financial Corp. George Carlo CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 24, 1996, claimants David and Barbara Puthoff ("claimants"), who appeared Pro Se, allege

•N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between • Name of Claimants Roman and Eleanor Mager 96-04254 Name of Respondents Smith Barney Harris Upham & Co., Inc. Barry Whalen CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on September 24, 1996, claimants Roman and Eleanor Mager ("claimants") through their representative and counsel Mitc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant May Financial Corporation Case No. 01-02139 Hearing Site: Boca Raton, Florida Name of Respondent V & S Industries, Inc. REPRESENTATION OF PARTIES For May Financial Corporation ("May") hereinafter referred to as "Claimant"; Corbet F. Bryant, Jr., Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Respondent V & S Industries, Inc. ("V & S")

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert C. Schmidt, Trustee of the Robert C. Schmidt Trust U/A/D May 26, 1982 and Robert Schmidt, Trustee of the Robert Schmidt Insurance Agency Assumed Benefit Plan U/A/D December 31,1981 and 00-00801 Southfield, Michigan Tasin & Co., Inc. Salvatore Sapienza Eric Weschke Michael E. Sackstein Thomas J. Mullaly Richard P. McGuire Stephen P. Don

JUH. 1.1998 8:0a=n NfiSD REGULfiTION FL . NO.249 P. 14 RA.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Qajniant James Doubleday, IRA 96-04249 . of_Resondems Smith Barney, Inc. Jerry Jiganti REPRESENTATION For Claimant: William T. Kirttey, Esq., Sarasota, FL. For Respondents: Linda R. Alpert, Esq.. of Smith Barney, Inc. New York, NY. CASE INFORMATION Statement of Qa

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantf si Ming-Dake Wang Wei-Wang v. Arbitration No. 96-04246 Name of Respondents'! Wyse Securities, A Division of Pyramid Financial Corporation REPRESENTATION For Claimant: Harry Delizonna, Esq., San Jose, California For Respondent: Morton Friedlander, North Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: Se

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04243 Charles Kitchen and Yolanda Kitchen, claimants v. Quick and Reilly, Inc., respondents. ATTORNEYS: For Claimant Claimants appeared Pro Se - Rohnert Park, CA. For Respondent Douglas S- Flaherty, Esq. in-house counsel - New York, NY. DATE FILED: September 23, 1996. CASE SUMMARY: Claimants alleged misrepresentation regarding the sale price of shares