AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert W. Finley, M.D., in his personal capacity; Robert W. Finley, M.D., as Trustee for the Robert W. Finley Retirement Trust; and Tamara Finley, as Trustee for the Robert W. Finley Retirement Trust v. Name of Respondents Cruttenden Roth, Inc. and Timothy Hasseli Arbitration No. 96-05768 For Claimants: For Responde

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Marcella M. Branch, Claimant, and No. 96-05765 Stifel, Nicolaus & Co., Inc., and John Benefiel, Respondents. REPRESENTATION OF PARTIES Claimant, Marcella M. Branch, was represented by Randall K. Calvert, Esquire, located in Oklahoma City, Oklahoma. Respondents, Stifel, Nicolaus & Co., Inc. and John Benefiel, were represented by Bart A, Boren, Es

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ahmed Dia Hussein, (Claimant) vs. Dean Witter Reynolds, Inc., (Respondent) Case Number: 96-05764 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Ahmed Dia Hussein, hereinafter "Claimant": John J. Phelan, Esq., New York, NY. Respondent, Dean Witter Reynolds, Inc., hereinafter referred to as "Respondent": Bradford D. Kaufman, Esq., Greenberg Traurig, P.A., West Palm Beach

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05756 Alan H. Stein, claimant v. Michael Eugene Kingraan, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Rego Park, NY. Respondent appeared pro se - New York, NY. DATE FILED: 12/26/96 CASE SUMMARY: Claimant alleged misrepresentation in the sale of warrants for Leak-X Environmental Corp. and stock in American Complex Care, Inc. Claim

SIMPLIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #96-05754 GKN Securities Corp. v. Scott Brown ATTORNEYS: For Claimant: Katherine Nathan, Esq. of GKN Securities Corp., ("GKN") New York, New York. Respondent Scott Brown did not appear. DATE FILED: December 2, 1996 CASE SUMMARY: Claimant alleged that Respondent Brown entered into an Association Agreement with GKN on June 7, 1993 and by the terms of the Association

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05752 Peter Kotzer, claimant vs. First Hanover Securities, Inc. and Brandt Mandia, respondents. ATTORNEYS: For Claimant appeared L Alexander Davidson, Esq., of the law firm Carroll, Carroll, Davidson, Franklin and Young, Syracuse, NY. For Respondents appeared Charles M. Q'Rourke, Esq., Garden City, NY. DATE FILED; December 26, 1996. CASE SUMMARY: Claimant

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05750 ^ Grover R. Castle and Carol Ann Castle, claimants vs. State Streel Capital Markets Corporation and Oppenheimer & Co. Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Ridgewood, NJ. Respondent State Street Capital Market Corporation did not respond to the Statement of Claim. For respondent Oppenheimer & Co. Inc., appeared in-house counsel, Mark E.

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Duncan Williams. Inc.. Claimant, and Case Number 96-05745 David Wavne Treat. Respondent. REPRESENTATION OF PARTIES Claimant, Duncan Williams, Inc. was represented by Stephen H. Biller, Esquire of Baker, Donelson, Bearman & Caldwell, located in Memphis, TN. - C f Respondent, David Wayne Treat was represen

AWARD NASD Regulation, Inc. Office o'f Dispute Resolution In the Matter of the Arbitration Between Robert and Cathy Morris, Claimants, v. No. 96-05744 Nick Briganti, and Cressida Capital, Inc. f/k/a' Norfolk Securities Corp., Respondents. REPRESENTATION OF PARTIES Claimants Robert and Cathy Morris ("Claimants") were represented Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss, P.C. located in Bingham Farms, Michigan. Respo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05743 John & Judith A. Blast, claimant 'v. Lyle Maul, Fred Zweifel, Howard A. Davis, David Reisman and D. Gregg Marston, respondents. ATTORNEYS: For Claimants Claimants appeared pro se - Livonia, ML Respondent Lyle Maul appeared pro se - Los Angeles, CA. Respondent Fred Zweifel appeared pro se - Los Angeles, CA. Respondent Howard A. Davis appeared pro