NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Olde Discount Corporation 96-02258 Name of Respondent James May REPRESENTATION For Claimant Olde Discount Corporation ("claimant") appeared Robert S. Anderson, Esq., Vice President and Assistant General Counsel of Olde Discount Corporation. Respondent James May ("respondent") appeared pro se. CASE INFORMATION Sta

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Williams Publishing, Inc. dba Big Graphics, Claimants v. Sam Pieh and First Union Securities, Inc., Respondents Case Number: 01-02090 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Craig Berne, Esq. Harris Berne Christensen, LLP Portland, Oregon For Respondents: Lawrence R. Cock, Esq. Cable, Lagenback, Kinerk & Bauer, LLP Seattle, Washin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald & Co. Securities, Inc. 96-02256 Name of Respondents Louis P. Arena REPRESENTATION For Claimant, Donald & Co. Securities, Inc., appeared Kenneth A. Elan, Esq., a sole practioner located in New York, New York. Respondent Louis Arena appeared pro se. CASE INFORMATION Statement of Claim filed: May 22, 1996 Claim

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEAT mgCUATTON. INC. CASE: 96-02252 Frank and Joyce Dubois, claimants v. DMG Securities, Inc., Steven Petney, Samuel Carrier and John Csenge, respondents. ATTORNEYS; For Claimants appeared Brian G. Mooney, Esq. - Tampa, FL. For Respondents DMG Securities, Inc., Steven Petney and John Csenge appeared Gregory Tendrich, Esq. - Boca Raton, FL. Respondent Samuel Carrier appeared pro se - Tampa,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Robert R. and Jean A. Olen Case No. 96-02248 Name of Respondents Maidstone Financial Inc. Mark Allen Lefkowitz Michael Accurso REPRESENTATION For Claimants Robert R. and Jean A. Olen ("Claimants") appeared Christopher J. Calabrese, Esq. and David Stem, of Elliot, Stern, Calabrese & Higgins located in Rochester, New York. For Respondents Maidsto

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sherwin J. and Shirley Fischer 96-02247 Name of Respondents Nationwide Securities Corp. Chris Ray CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1996, claimants Sherwin J. and Shirley Fischer ("claimants"), who appeared Pro Se through Sherwin Fischer ("claimant"), alleged

NASD REGULATION AWARD National Association of Securities Dealers Regulation, Inc. In the Matte- of the Arbitration Between Name of Claimant John H. Rasnick 96-02241 Name of Respondents Dean Witter Reynolds Inc. Byron Boothe REPRESENTATION For Claimant, John H. Rasnick ("Claimant"), appeared Gary C. Johnson, Esq., located in Pikevilie, Kentucky, For Respondents, Dean Witter Reynolds Inc.("DWR") and Byron Boothe ("Boothe") appeared Annemar

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc Name of Respondent Thomas Farrell 96-02240 REPRESENTATION For cJaimajit Dean Witter Reynolds Inc. ("claimant") appeared Marc S. Wenger, Esq. of the law firm of Jackson, Lewis, Schnitzler & Krupman located in Woodbury, New York. For respondent Thomas Farrell ("respondent") appeared M. David Hyman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael W. Caiahan 96-02237 Name of Respondents Global Strategies Group, Inc. Paul Gorr Alex Rubinshteyn CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on May 28, 1996, claimant Michael Caiahan ("claimant"), who appeared Pro Se, alleged that respondents Global Strategies Gr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant C.D. Roberts 96-02233 Name of Respondents Dean Witter Reynolds, Inc. Byron Boothe REPRESENTATION For Claimant C.D. Roberts ("Claimant") appeared Gary C. Johnson, Esq., located in Pikeville, Kentucky. For Respondents Dean witter Reynolds, Inc. and Byron Boothe ("Respondents") appeared James Yellen, Esq., in-ho