N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant City of Dover, Delaware (Finance Dept) 96-02006 Name of Respondents Prudential Securities Inc Cindy Cutforth CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 9 Claimant Mike C. Karia as representative for the City of Dover, DE, ("Claimant"^ who. appeared Pro Se, alleged that Res

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Nancy Lipscomb Bond Claimant, and No. 96-1998 Bear Stearns & Company, Inc. and Stuart G. Dickinson Respondents. REPRESENTATION OF PARTIES Claimant, Nancy Lipscomb, ("Bond"), was represented by James F. Bullock, Esquire of Goodwin & Carlton, P.C. located in Dallas, Texas. Respondents, Bear Stearns & Company, Inc. and Stuart G. Dickinson ("Respondents"), were represented

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Napoleon N. Assam v. Arbitration No. 96-01997 Name of Respondent^ Merrill Lynch, Pierce, Fenner & Smith William K. Chan REPRESENTATION For Claimant: Michael K. Woo, Esq., Law Offices of Harold E. Kahn, San Francisco, California For Respondents: Todd A. Zuckerbrod, Esq., Merrill Lynch, New York, New York CASE INFORMATI

ft r-. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mary Louise Sauls Claimant, v. Case Number 96-01995 Sutro & Co. and Hunter A. Sauls, Jr. Respondents. Sutro & Co. Cross-Claimant, v . Case Number 96-01995 Hunter A. Sauls, Jr. C ross-Respondent. REPRESENTATION OF PARTIES Claimant Mary Louise Sauls ("Claimant") was represented by Ronald M. Greenspan, Esq. of The

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott S. Singer, (Claimant) vs. Scott Franklin, Salomon Smith Barney, Inc. and Merrill Lynch Pierce Fenner & Smith, Inc. (Respondents) Case Number: 01-02064 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Scott J. Singer ("Claimant"): Stephen H. Weiner, Esq., Law Offices of Stephen H. Weiner, New York, NY. Respondents Scott Franklin ("Franklin") and Salomon S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Richard S. Hinkle Harry Little Larry Brouse 96-01990 96-02620 96-05032 Name of Respondents Ben Lichtenberg Bryn Mawr Investment Group, Inc. REPRESENTATION Claimants Richard S. Hinkle ("Hinkle"), Harry Little ("Little") and Larry Brouse ("Brouse") were represented by James D. Ingram,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrili Lynch Pierce Fenner & Smith Inc 96-01988 Name of Respondent Ronald L. Sabott CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1996, Claimant Merrill, Lynch, Pierce, Fenner & Smith, Inc., through its representative, Lisa S. Kahn, Esq., of the law firm of Davis, Graham & St

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark Alloy vs. William P. Burke, Jr., Lawrence Wachler, and Gilford Securities, Inc. Case Number: 96-01982 Hearing Site: San Francisco, California. I. PARTIES Claimant is Mark Alloy. Respondents are William P. Burke, Jr., Lawrence Wachler and Gilford Securities, Inc. II. COUNSEL Counsel for Mark Alloy at the initiation of this action was Patrick Baldwin, Esq. and Chris

V-"' N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-01971 Paul Holthouse, claimant vs. J.A. Overton & Co. Inc., Thomas Patrick Median, Robert Conine, Robert Earl Watts, Doug Glaser, Dan Lehl, William L. Atkinson, Dariusz Zalewski and James Yeager, respondents. ATTORNEYS: For Claimant James A. Sigler, Esq., Redwood City, CA For Respondent Respondents J.A. Overton & Co. Inc., Thomas Patrick Meeha

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Roman D. Melnyk & Helen E. Melnyk 96-01970 Name of Respondents Sal Weisbord Securities Planners Inc. CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, Inc, on May 7, 1996, claimants Roman and Helen Melnyk ("claimants") who appeared Pro Se, alleged that resp