N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimants 96-01276 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION For Claimants: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, Florida. For Respondent: Glenn D. Kelley, Esq. of the law firm of Kelley, Aldrich & Warren, P.A., West Palm Beach, Florida. CASE INFORMATION Statement of Claim filed: March 22, 1996. Claimants' Submission Agreement sign

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Harry Kulkowitz and Vickie S. Goldstein 96-01273 Name of Respondent^ Buttonwood Securities, Inc. Securities Planners, Inc. (alias) Capital Income Fund, L.P. Capital Funding Corporation The Baron Group, Inc. A.R. Baron & Co., Inc. Edward A. McKay Jeffrey G. Massey Andrew E. Bressman REPRESENTATION For C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant 0. Lee Taylor Name of the Respondents National Securities, Corporation; James J. Christiano; Bruce J. Katz; Robert I Kollack; Michael A. Bresner; Olympic Cascade Financial Corp. Case Number: 01-01187 Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant 0. Lee Taylor ('Taylor") was represented by H. Naill Falls, Jr., Esq

NASD Case No. 96-01271 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elaine G. Landry Name of Respondents Josephthal Lyon & Ross Inc. , - Gaines, Berland Inc. Robert T. Crothers REPRESENTATION For claimant Elaine G. Landry ("claimant") appeared Bruce S. Bandes, Esq., a sole practitioner located in West Sayville, New York. . . ; • . . For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darren Shasho 96-01269 Name of Respondents Investors Associates Inc. Lawrence Penna Herman Epstein REPRESENTATION For Claimant Darren Shasho ("claimant") appeared David S. Richan, Esq. of Tenzer Greenbiatt, New York, New York, For Respondents Investor Associates, Inc. ("IAI"), Lawrence Penna ("Penna") and Herman Epstein

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant(s) Michael D. Horvitz James R. Pezzimenti 96-01264 Name of Respondents) D. Blech & Co. Inc. David Blech , REPRESENTATION For Claimants Michael D. Horvitz ("Horvitz") and James R. Pezzimenti ("Pezzimenti"): Ronald Shindler, Esq. of Fowler White Burnett Hurley Banick & Strickroot, P.A., Miami, Florida. For Respondents D. Blech &

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claima.iVi.fc': . : Robert N. Sturwold Roy Sturwold Rita M. Sturwold 96-01263 Name of Respondent^ •- Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATIONS Claimants Robert Sturwold and Roy Sturwold appeared pro se. Claimant Rita Sturwold did not attend the hearing, (hereinafter collectively "claimants"). For responde

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimants Julius & Selma Isaacson Julius Isaacson and Barbara Callahan Julius Isaacson 96-01259 Name of Respondents Fahnestock & Co., Inc. Bruce Kurchack REPRESENTATION For Claimants Julius and Selma Isaacson and Barbara Callahan ("Claimants") appeared Frank J. Evangelist, Esq. of Ormsten & Evangelist located in Jericho, New York. For Respondents Fahne

AWARD National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Eric Scheffey, Claimant. v. Case Number 96-01256 Shearson Lehman Brothers and Joseph Bergner, Respondents. REPRESENTATION OF PARTIES Claimant, Eric Scheffey was represented by Robert Karoly, Esquire and Dennis H. Taylor, Esquire of Taylor & Associates located in Longview, Texas. Respondents, Shearson

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. in the Matter of the Arbitration Between Name of Claimant Roger L. Pierre 96-01253 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Joseph W. Sanford REPRESENTATION Claimant Roger L. Pierre ("Claimant") was represented by John P. Connolly, Esq., Alexandria, VA, Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and Joseph