NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Lise Burkard Case No. 95-03639 vs. Name of Respondents PaineWebber, Inc. Donough McDonough Michael Crooks John Succo REPRESENTATION For Claimant Lise Burkard ("Claimant") appeared John D. Rapoport, Esq., a sole practitioner with offices located in White Plains, New York. For Respondents PaineWebber, Inc. ("PaineWebber"), Donough McDonough ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary W. Hopkins 95-03635 Name of Respondents Rodger O. Riney Thomas R. Nemcek CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1995, Claimant Gary W. Hopkins ("Qairoant"), who appeared Pro Se, alleged that Respondents Rodger O. Riney ("Rinty") and Thomas R. Nemcek ("Nemcek"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ellen Sinaiko., an individual, Claimant v. William L. Creedon, an individual., Respondent Case Number: 01-01923 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Ellen Sinaiko ProSe Los Angeles, California For Respondent: David H.S. Commins, Esq. Law Offices of David H.S. Commins San Francisco, California CASE INFORMATION S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christopher Krupa and Anna Krupa, (Claimants) vs. Mills Financial Services, Inc., Wilson Johnathan Rodini, Jr., Christopher Brian Pascente and Joseph Edward Kurczodyna (Respondents). Case Number: 00-00773 Hearing Site: Denver, CO REPRESENTATION OF PARTIES Claimants, Christopher Krupa and Anna Krupa ("Claimants"): Richard A. Nervig, Esq.: Nervig & Vondran, LLC, Denver, Co.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants JRJ Building Contractors, Inc. Jerry Funtila 95-03634 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Reyes R. Reyna REPRESENTATION Claimants JRJ Building Contractors, Inc. and Jerry Funtila ("Claimants 11 ) were represented by David M. Lewis, Esq., Lewis, Goldberg & Ball, McLean, VA Responden

N A S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of ;ie \rhitratton Between Name P:' C'L..vuiu Robert L. WHIiai is. Jr. 95-03633 Name of Respondent Josephthai Lyon < Si Ross inc. CASE SUMMARY In a claim riled wi;h the National Association of Securities Dealers, Inc. on July 27, 1995, Claimant Robert L. Williams. Jr. ("Claimant"), who appeared Pro Se, alleged that Respondent Josephthai Lyon & Ross Inc. ("Respondent"), fai

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David Alan and Karen Hill 95-03630 Name of Respondents Elliot Fisher Cartwright & Walker Securities, (nc. CASE-SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1995, Claimants David Alan and Karen Hill ("Claimants"), who appeared Pro Se, alleged that Respondents Elliot Fisher (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour N. Harris 95-03627 Name of Respondents The Wellington Group, Inc. Kevin Kading Craig H. Shapiro Joseph Matorano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1995, Claimant Seymour N. Harris, who appeared Pro Se, alleged that Respondent The Wellington Group,

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jacob PaJterovich 95^03622 Name pf Respondents Biltmore Securities, Inc. Howard Gostfrand Thomas Pronesti REPRESENTATION For claimant Jacob Palterovich (."claimant") appeared Dan Brecher. Hsq. of the Law Offices of Dan Brecher located in New York. New York. For respondents Biltmore Securities, Inc. ("Bilimore"), Howard Gostfrand ("Gostfrand

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Met-er :*f the Arbitration Between Name o£Cjaimant Dean Witte." R'yuoids, Inc. CASE NO, 95-03621 Name_,oLRgspondent Christopher L Boesch REPRESENTATION For Claimant, De*n Witter Reynolds, Inc. ("Dean Winer"): Michael S. Taaffe, Esq., of Abel, Band, Russell. Collier, Pitchford & Gordon of Sarasota, Florida. For Respondent, Christopher J. Boesch ("Boesch"): pro se CASE INFORM