AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John A. Cassidy, and Roberta C. Cassidy and 96-04226 Name of Respondents Glenn Gryka, MyrnaReilly, Dale Heath, Donna Bartlett, First allied Securities, First Affiliated Securities and Bear Stearns & Co., Inc. REPRESENTATION OF PARTIES John A. Cassidy, and Roberta C. Cassidy ("Cassidy") were represented by initially by John C. Cassidy

BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. EVEREN SECURITIES, INC, a ) No. 96-04225 corporation, ) ) AGREED FINAL AWARD Claimant, ) v. ) ROBERT L. ADDISON, an individual, ) Respondent. ) REPRESENTATION Claimant, EVEREN SECURITIES, INC. John R. Loftus, Esq. Keesal, Young & Logan 400 Oceangate Long Beach, California 90801-1730 Respondent, ROBERT L. ADDISON Sandra Malek, Esq. Malek & Malek 3625 Del Amo Boule

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 96-04217 Name of Respondent Belynda P. Stewart REPRESENTATION Claimant PaineWebber, Inc. ("Claimant") was represented by James P. Flynn, Esq., Hannoch Weisman, Roseland, NJ. Respondent Belynda P. Stewart ("Respondent") was represented by Shari Amster, Esq., Durant & Durant, Phil

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Michael H. & Kiera Williams Stock 96-04208 Name of Respondents Merrill Lynch Pierce Fetiner & Smith Inc Michael Livernois CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, Inc. on September 20, 1996, claimants Michael and Kiera Stock, ("claimants"), who app

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Everen Securities. Inc. Name of Respondents James D. Rollerson Joseph G. Gerace Arbitration No. 96-04205 REPRESENTATION For Claimant: For Respondent James D. Rollerson: For Respondent Joseph G. Gerace: Dianne C. Fischer. Esq. Gomberg Kane £ Fisher, Ltd. Chicago, Illinois James D. Rollerson In

N.A.S.D. REGULATION - CORRECTED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04203 Judith A. Giampieri, claimant vs. State Street Capital Markets Corp. and Nick Lobasso, respondents. ATTORNEYS: Claimant appeared Pro Se - Denver, CO For Respondents appeared Mark J. Astarita, Esq. and John E. Bersin, Esq., New York, NY DATE FTLED: September 20, 1996 CASE SUMMARY: Claimant alleged that respondents refused to sell her Cable

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04202 Kenneth R. Gaarder, IRA, claimant vs. William L. Roberts and First Potomac Investment Services, Inc., respondents. Claimant appeared Pro Se. - Chevy Chase, MD. Respondent William L. Roberts appeared Pro Se - Falls Church, VA. Respondent First Potomac Investment Services, Inc. appeared Pro Se, through it's President, Herbert I. Millard - Falls Church, VA.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimam) Watco Limited Partnership through its General Partner, Frank E. Waters v 96-04191 Name of Respondent Olde Discount Corporation CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 19, 1996, claimant Watco Limited Partnership ("claimant") through its representative an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sasan Azarakhsh, Claimant v. H.J. Meyers & Co., Inc. f/k/a Thomas James Associates Inc., Robert J. Seteducatti, and Mark J. Allen, Respondents Case Number: 96-04186 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Sasan Azarakhsh In Propria Persona Studio City, California For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Coons, Claimant v. H.J. Meyers & Co., Inc. Fk/a Thomas James Associates, Inc., Mark J. Allen, and Robert J. Seteducatti, Respondents Case Number: 96-04184 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: John D. Coons In Propria Persona Santa Barbara, California For Resp