Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene C. Maloney, (Claimant) v. Magnum Securities of New York, Inc. and George William Lambro, (Respondnets) Case Number: 01-01134 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eugene C. Maloney, hereinafter referred to as "Claimant" appeared pro se in this matter. Respondent, George W. Lambro, ("Lambro") appeared pro se in this matter. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS •j • Ing Che Matter of the Arbitration Between JuteV. Hutchison, Individually and As Pet&onal Representative and Beneficiary of the Estate of Daniel D. Hutchison i 96*00059 Ntune Buckbead Financial Corporation For Claimant June V, Hutchison the Estate of Daniel D. Hutchison ("J. Hutchison" and *D. Hutchison"): Kalju Nefcvasil, Esq. of Goodman &Nekvasil, P. A., Safety Harbor, FL,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) David J. Hogan 96-00049 Name of Respondent(s) Mike Laskowski Hibbard Brown & Company Inc. (Bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1996, Claimant David J. Hogan, who appeared Pro Se, alleged that Respondent Mike Laskowski of Hibbard Brown & company c

flUG.10.ig98 9=33fiM NfiSD REGULATION FL NO.990 P.14 N.A.S,D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between. Name ofClaimants Robert L, Faxon and Glenda L, Faxon NASD CASE NO. 96-00034 Name of Respondents Dean Witter Reynold Inc. and Charles H. Reynolds REPRESENTATION For Claimants: Thomas F. Shine, Esq., Melbourne, Florida and Stephen T. Gannon, Esq. of LeClair Ryan, Richmond, Virginia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Steven J. & Carol Francois 96-00033 Name of Respondents Kevin High Anthony Ferrante Anthony Rodrigues Corporate Securities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on January 3, 1996, claimants Steven J. and Carol Francois, who appeared Pro Se ; allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Matthew N. Margulis 96-00032 / Name of Respondents A.G. Edwards & Sons, Inc. Robert Mongelli REPRESENTATION Claimant Matthew Margulis ("Margulis") appeared Pro Se. For Respondents A.G. Edwards & Sons, Inc. ("Edwards") and Robert Mongelli ("Mongelli"), collectively ("Respondents") appeared Hope Johnson, Esq. of A.G. Edwa

N.A.S.D. REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Exchange Management Company, Inc 96-00028 Name of Respondents Gilford Securities, Inc, REPRESENTATION Claimant Exchange Management Company, Inc. ("claimant") was represented by Jeffrey F. Montgomery, Esq. of Gushing, Morris, Ambruster & Jones, LLP, located in Atlanta, GA, Respondent Gilford Securities, Inc. ("respondent") was represented by Joel Levinson, Esq.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Gino Carosella and Helen Carosella 96-00027 Name of Respondent Smith Barney, Inc. REPRESENTATION Claimants Gino Carosella and Helen Carosella ("Claimants") appeared pro se. Respondent Smith Barney, Inc. ("Respondent") was represented by Etta M. Gumbs, Esq., Smith Barney, Inc., New York, New York.

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Max & Rita Hershey 96-00025 Name of Respondents Reece E. Mustek Chemical Investment Services Corp. REPRESENTATION For Claimants Max and Rita Hershey ("Claimants") appeared Joseph Trotti, Esq., a solo practitioner located in Bayside, New York. For Respondents Chemical Investment Services Corp. ("CIS"), and Reece E. Musick ("

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gerald C. and Sandra D. Doran, William M. & Patricia R. Dolan and 96-00024 Name of Respondent Hamilton Investments, Inc. Principal Financial Securities, Inc. Todd Robert Andersen REPRESENTATION OF PARTIES Gerald C. and Sandra D. Doran ("Claimants Doran"), William M. & Patricia R. Dolan ("Claimants Dolan") (collectively a