AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Christine A. Hatch and Hatch Investment Services, Inc. 95-04479 Name of Respondent Chase Manhattan Investment Services REPRESENTATION For Claimants, Christine A. Hatch ("Hatch") and Hatch Investment Services, Inc. ("HIS"): Scott C. Ilgenfritz, Esq. of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Taftspa, F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * ,, .. , . . .. ,, © National Association of Securities Dealers, Inc. Name of Claimant(s) Richard V. and Margaret B. Colliflower M *#** Reserved 95-04475 Name of Respondent^ Ephram Pollack Richard V. Singer Hillcrest Financial Corp. CASE SUMMARY In a claim filed with the National Association of. Securities Dealers, Inc. on

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Hamilton Investments, Inc. Claimant and Counter-Respondent, v. Kevin Lee Otto Respondent and Counter-Claimant. No. 95-04466 © National Associate Securities Dcfth'-' AK Rights Reserved Claimant and Counter-Respondent Hamilton Investments, Inc; (hereinafter sometimes referred to-f< as "Claimant" or "Hamilton") was represented by Michael A^

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant T. Patrick LaPorte and Names of Respondents Bear Stearns & Co., Inc., Bear Stearns Securities Corp., and Bear Stearns Case Number: 01-01970 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Members and Non-Member REPRESENTATION OF PARTIES T. Patrick LaPorte ("Claimant") was represented by Anthony V. Trogan, Esq., Anthony V.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary E. Thomas and 95-04465 Name of Respondent Chatfield Dean & Company, Inc. Schneider Securities, Inc. Mark E. Thomas REPRESENTATION OF PARTIES Gary E. Thomas ("Claimant") was represented by Stuart N. Bennett, Esq., Brega and Winters, P.C., Denver, Colorado. Chatfield Dean & Company, Inc. ("Respondent Chatfield") was r

N.A.S.D. AWARD NATIONAL ASSOCIATION O* SKCWUTIES HEALERS In the Matter of the Arbitration Between Andrew and Gloria M. Mennie 95-04462 .„%••«•^.-•'-iv." Nameoffoapondent ^ National Association of Merrill Lynch Pierce Fenner & Smltibi Lac All Ri~V.i» R-servi-d SUMMARY ID a claim filed wito idle National Association of Securities Dealers, IDC. on September 19$ 109i3uv. ill^l wi& Claimants Andrew H- an< i Gloria M. Mennie ('Claimants"), who appe

7 /" c lfcCfc/2-l N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Philip Polonet 950446 1 Name of Respondent < & National Association of Securities Dealers, Inc. National Discount Brokers AH Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 19, 1995, Claimant Philip Polonet ("Claimant"), who ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERI3 In the Matter of the Arbitration Between Name of Claimant Margaret B.Harris 95-04457 Name of Resnondents & co., Inc. William Pierce Carroll Broadcort Capital Corp. REPRESENTATION For claimant Margaret B. Harris ("claimant"), appeared Richard F. Lark, Esq. ftbm tihetlaw: firm of Lark & Folts, located in Cutchogue, New York. unn of I..arV & v o For respondent Spelma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeri Schneider Nam gf Capital Corp. Mark Moore 95-04451 © National Association of Securities Dealers, Inc. A11 „. «, „ , All Rights Reserved REPRESENTATION For Claimant Jeri Schneider ("claimant") appeared Scott Hilsen, Esq. of the law firm Robins, Kaplan, Miller and Giresi located in Atlanta^ Georgia. ^; < .

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between ; Name of Claimant ' PaineWebber, Inc. © National Association of 95-04450 Securities Name of Respondent Edward A. Goldman REPRESENTATION AU Rights Reserved For Claimant PaineWebber, Inc. ("Claimant"): Thomas M. Mierswa, Jr., Corporate Vice President and Senior Litigation Counsel, PaineWebber, Inc., Weehawken, NJ. For R