N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Margaret M. Cole 96-01733 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1996, claimant Margaret M. Cole ("claimant") through her representative, Robert M. Shipman, Esq., a sole practitioner located in Huntsville, Alabama, alleg

NASD Regulation Inc., Office of Dispute Resolution Arbitration No. 97-02567 Award Page 2 of 5 HEARTNO INFORMATION Pre-Hearing Conference: May 8,1998 before One arbitrator. Hearing Dates/Sessions: June 9,1998 for Two (2) sessions; June 10, 1998 for Two (2) sessions; and June 11, 1998 for Two (2) sessions. Hearing Location: Chicago, Illinois. Claimant alleged that Respondent Mahan, while employed by or acting as an agent for Respondent A.S. Goldme

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC In the Matter of the Arbitration Between Name of Claimant Geoffrey Hendrick and Case Number 96-01725 Name of Respondent Scottsdale Securities, Incorporated REPRESENTATION OF PARTIES Claimant Geoffrey Hendrick was represented by Bill Abney, Jr., Esq. of Abney & Reed located in Oklahoma City, OK, Respondent Scottsdale Securities, Inc. was represented by Lisa M. Wood, Esq. of Arms

r BY: 11-17-98 ; 9:24AM ;NASD ARBITRATION DPT- 12122Q85165;# 7/19 SENT BY: 10-27-37 tlfrdLAM ;NA3D ARBITRATION OPT- 807 345 0006:* 2/13 AWARD NASP a*nT?LA T yfw T INC ftwine OF DISPUTE In the matter of the Arbitration Between Robert Wafoscott Joyce Wainscott y Arbitration No. 96-01722 Merrill Lynch Pierce Forcer ft Smith, Inc. RobertO. Green REf PKSENTATION OF PARTIES , Robert Wainscatt and Joyce Wainscott represented the

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Ronald K. Rappold NASD Case Number 96-1720 Names of Respondents Nationwide Securities, Corp. Howard Zelin and Marco Fiore REPRESENTATION Claimant Ronald K. Rappold ("Rappold") appeared pro se. For Respondent Nationwide Securities, Corp, ("Nationwide") Jonathan A. Pace, Esq. of Pace & Rickey, L.L.P., Dallas, Texas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration H-—•-. n Name of Claimant Brent Dowdle 96-01717 Name of Respondent Corporate Securities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 19% Claimant Brent Dowdle ("Claimant"), who appeared Pro Se, alleged that Respondent Corporate Securities Group, Inc. ("Corporate Securities") engaged in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brent Dowdle 96-01716 Name of Respondent Investors Associates Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1996, Claimant Brent Dowdle ("Claimant"), who appeared Pro Se, alleged that Respondent Investors Associates Incorporated ("IAI") was negligent in the sup

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimanj Brent Dowdle 96-01715 Name of Respondent The Harriman Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1996, Claimant Brent Dowdle ("Claimant"), who appeared Pro Se, alleged that Respondent The Hamrnan Group, Inc. ("Respondent"), through its stockbroker, George Cas

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joel Bernstein 96-01711 Name of Respondent Doft &Co. f Inc. REPRESENTATION For Joel Bernstein ("Claimant") appeared Hayward Pressman, Esq. and Diane Sammarco, Esq., of the law firm of Pressman & Associates and Robert Trien, Esq. of the law firm of Harvis & Trien, L.L.P. located in New York, New York. For Doft & Co., Inc. ("Respondent") appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants SouthTrust Securities, Inc. Timothy W. Bembry 96-01708 Name of Respondents George Michael Stripling Patricia Tobin CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on April 19, 1996, claimant SouthTrust Securities, Inc. ("SouthTrust"), through its representative and counsel J. P