AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Bruce Summerer Claimant, v. Case Number 96-01544 Robert W. Baird & Co., Inc. Respondent. REPRESENTATION OF PARTIES Claimant Bruce Summerer ("Claimant") was represented by Bruce M. Bieneman, Esq. of Cholette, Perkins & Buchanan located in Grand Rapids, Michigan. Respondent Robert W. Baird & Co., Inc. ("Respondent") was represented by Boyd A. Hend

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Saber Partnership 96-01540 Name of Respondents Janice Turek Mace Blicksilver REPRESENTATION For Claimant Saber Partnership ("Claimant") appeared Nasser Saber of the Saber Partnership located in New York, New York. For Respondents Janice Turek ("Turek") and Mace Blicksiiver ("Blicksilver"), collectively ("Respondents"),

. . - • NASD REGULATION AWARD NASD REGULATION In the Matter of the Arbitration Between Name of Claimant Steven Friedel 96-01539 Name of Respondent Pershing / Div. of DLJ Securities Corp. REPRESENTATION For Claimant Steven Friedel ("Claimant") appeared Sidney A. Weisberg, Esq., located in Great Neck, New York. For Respondent Pershing Division of Donaldson, Lufkin & Jenrette Corporation ("Respondent") appeared Joseph DaProcida, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Caroline J. Winston and Peter W.D. Sailer, (Claimants) vs. First Liberty Investment Group, Inc., Ahmed Gadelkareem, Gresham Cooney, James O'Connor, Sheldon Traube, Warren Schumacher, and Stephen DeBusso, (Respondents) Case Number: 01-02034 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Caroline J. Winston ("Winston"), appeared pro se. Claimant, Peter W.D. S

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James R. Blackburn, Jr. 96-01533 Names of Respondents Dean Witter Reynolds, Inc. Joseph Piontek William Piontek For Claimant James R. Blackburn, Jr. ("Blackburn"): Russell L, Forkey, Esq. of the law firm of Russell L. Forkey, PA, Fort Lauderdate, Florida. For Respondents Dean Witter Reynolds, Inc. ("DWR") and Joseph Piontek

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Carl R. Mclnnis and Tammy Mclnnis, Claimants, and No. 96-01528 Dean Witter Reynolds, Inc., Charles Z. Plesofsky, and Ellsworth Stevens Scales, Respondents, REPRESENTATION OF PARTIES Claimants Carl R. Mclnnis and Tammy Mclnnis were represented by Carl R. Mclnnis, of Memphis, Tennessee. Respondents Dean Witter Reynolds, Inc., Charles Z. Plesof

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Deborah G. Michael 96-01526 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION Claimant Deborah G. Michael ("Claimant") was represented by Charles L. Williams, Esq. of Butler, Macon, Williams, Panetele, & Lowndes, Richmond, Virginia. Respondent Fidelity Investment Brokerage Services,

N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred G. Yee 96-01519 Name of Respondent E*Trade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1996, Claimant Fred G. Yee ("Mr. Yee"), who appeared Pro Se, alleged that on March 19, 1996, he purchased 500 shares of Philip Morris ("MO") through E*Trade S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Daniel J. Malicki 96-01516 Name of Respondents Oppenheimer & Co., Inc. Keith Simons REPRESENTATION Claimant Daniel J. Malicki ("Claimant") was represented by Earl R. Frost, Jr., Esq., Frost & Danchak, Columbus, OH. Respondents Oppenheimer & Co., Inc. ("Oppenheimer") and Keith Simons ("Simons") we

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert R. Pfeifer 96-01515 Name of Respondent Richard L. Ringel REPRESENTATION Claimant Robert R. Pfeifer ("Claimant") was represented by Susan Ciallella, Esq., Adler & Gold, Cherry Hill, NJ. Respondent Richard L. Ringei ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed April 8, 1996. Claimant's Uniform Submission