N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05491 Kenneth E. Wohltmann, claimant v. Olde Discount Corporation, Steve Cicali, respondents. ATTORNEYS: For Claimant appeared Douglas R. Laily, Esq. - Jenkintown, PA. For Respondents appeared Julie D. Reed - Detroit, MI. DATE FILED: December 11, 1996 CASE SUMMARY: Claimant alleged breach of fiduciary duty, untrue statements of material fact, omissions of

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 96-05489 Name of Respondent Steven J. Maher REPRESENTATION Claimant PaineWebber, Inc. ("Claimant") was represented by Hector BeciK Esq.. PaineWebber, Inc., Weehawken, NJ. Respondent Steven J. Maher ("Respondent") was represented by Mark S. Michael, Esq., Dallas, TX. CASE INFORMA

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Philip R. Taylor 96-05487 Name of Respondent Edward D. Jones & Co. REPRESENTATION For Claimant Philip R. Taylor ("Claimant") appeared James R. Levinson, Esq. and Mark Stites, Esq. of the firm Levinson Levinson and Hatch, located in Benson, North Carolina. For Respondent Edward D. Jones & Co. ("Respondent") appeared Lawrence R. Goldberg. Esq. of the firm Gol

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Margaret A. Christman, Claimant, and No. 96-05482 Daniel J. Weis, and EVEREN Securities, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Margaret A. Christman ("Claimant") was represented by Robert M. Disch, Esq. of Ross & Hardies located in Washington, D.C. Respondents Daniel J. Weis ("Weis") and EVEREN Securities, Inc. ("EVEREN") (co

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Harold Hudson Henley and 01-01385 Dallas, Texas Name of Respondents Ameritrade, Inc. and Caroline F. Wyzykowski REPRESENTATION OF PARTIES Harold Hudson Henley, Esq. ("Claimant") represented himself. His law practice is located in Dallas, Texas. Ameritrade Inc. and Caroline F. Wyzykowski ("Respondents") were represented by Robert P. Oliver, Kessler & C

Award NASD Dispute Resolution, In the Matter of the Arbitration Between: Chien-Lien Lai and Lee Huang, Claimants v. Hong Yi Sun and Mark Cheng-Pen Lee. Respondents Case NumbcnOO-0(y723 Hearing Site: Los Angeles, California REPRESENTATION OI PARTIES For Claimants Chien-Lien Lai and Lee Huang: Chien-Lien Lai Lee Huang In Pro Per San Gabriel, California Yi Sun and M -- ->'-•• '•••-•> ^; ' 4 * ! Mark Cheng-Pen Lee: ; : -

NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kenneth & Brooke Findley and 96-05480 Name of Respondents Dain Bosworth, and David Nelson, Jr. Consolidated with Name of Claimants Kenneth & Brooke Findley and 96-05533 Name of Respondents PaineWebber, Inc., and David Nelson, Jr. REPRESENTATION OF PARTIES Kenneth and Brooke Findley

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05477 Rosella Medollo, claimant v. Fidelity Investments, respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se - Baldwin, NY. For Respondents Annmarie Ciccolo, Esq. - Boston, MA. DATE FILED: 12/10/96. CASE SUMMARY: Claimant alleged omission of material fact regarding redemption fees for Fidelity's Select Technology fund and five of Fidelity

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David N. Weinstein and Name of Respondent Chase Securities, Inc. Case Number 96-05476 REPRESENTATION OF PARTIES For David N. Weinstein ("Claimant") appeared Jonathan P. Arfa, Esq., of Roosevelt & Arfa, LLP, located in White Plains, New York. For Chase Securities, Inc. ("Respondent") appeared Stephen L. Ratner, Esq., of Rosenman & Colin, LLP

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant/Counter-Respgndent: Wedbush Morgan Securities v. Arbitration No. 96-05470 Name of Respondent Eric W. Lytle v. Name of Third-Party Respondent Dennis LoPresti REPRESENTATION For Claimant/Counter-Respondent Wedbush Morgan Securities and Third-Party Respondent Dennis LoPresti: For Respondent Eric W. Lytle: