AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Edgar H. and Virginia P. Bedweli as Trustees for the Bedwell Family Revocable Trust Edgar H. and Virginia P. Bedwell as Trustees for the Betty B. Fredericks Trust and/or Edgar H. Bedwell as Personal Representative for the Estate of Betty B. Fredericks 96-00757 Names of Respondents J.W. Charles Securities, Inc.

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimant fs) Valley NASD Arbitration No. 96-00753 Name of Respondent ( s ) Gerald H. Burchard Burchard Investment Group Round Hill Securities, Inc REPRESENTATION For Claimant: Peggy Ann Valley, Danville, California For Respondents: Thomas E. Mulvihill, Esq., Low, Ball & Lynch, Redwood City, California CASE INFORMATI

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Southwest Securities, Inc., Claimant and Counter-Respondent, and No. 96-00605 David D. Dellinger, Respondent and Counter-Claimant. REPRESENTATION QFLPARTTES Claimant, Southwest Securities. Inc., was represented by Will S, Montgomery, Esquire of Jenkens & Gilchrist, located in Dallas, Texas. Respondent, David D. Dellinger, was represented by Paul R.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R.J. & E.A. O'Brien 96-00601 Name of Respondents Prudential Securities, Inc. Robert Tiller REPRESENTATION For Claimants: Jeffrey P. Coieman, Esq. of the law firm of Bonner, Hogan & Coleman, P. A,, Clearwater, Florida. For Respondent Prudential Securities, Inc. ("Prudential"): Mark J. Happe, Esq. in- house counsel at Pr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Eleanor Bralver, Claimant v. Cal Fed Investments and Diana C. Reyes, Respondents Case Number: 00-05397 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Eleanor Bralver: Stephen J. Riggs, Esq. Brady, Riggs & Ford Pasadena, California For Respondents Cal Fed Investments and Diana C. Reyes: Douglas J. Rovens, Esq. Rovens, Lamb & Gase, I.JLP

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between of Claimant Peter M. Ferraro 96-00600 Jed Chniara Greg R. Stuart G. R. Stuart £ Company REPRESENTATION Claimant Peter M. Ferraro ("Claimant") was represented by Richard W. Drury, Esq. and Alexander R. McMullen, Esq., McMullen, Drury & Finder, Towson, MD. Respondent Jed Chmara {"Chmara") was represented hy Joseph P. Carmich

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (an Field 96-00597 Name of Respondent^ Gruntal & Co., Inc. The CMS Group CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on February 9, 1996, claimant Ian Field ("claimant"), who appeared Pro Se, alleged that respondents The GMS Group ("GMS") and Gruntal & Co., Inc. ("Gruntal"), (colle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants^ Richard A. and Charmaine D. Yorty 96-00596 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Kurt Nielsen *- CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on February 9, 1996, claimants Richard A. and Charmaine D. Yorty ("Claimants") who appeared Pro Se, alleged that resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lina Asseo 96-00589 Name of Respondent First Union Brokerage Services, Inc. REPRESENTATION For Claimant, Lina Asseo ("Asseo"): Mark A. Tapper, Esq., Fort Lauderdale, Florida. For Respondent, First Union Brokerage Services, Inc. ("FUBS"): Barbara H. Wright, Esq., V.P. and Assistant General Counsel, First Union Brokerage Services

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ralph Straetz 96-00588 Name of Respondent Stoever, Glass & Company Inc. REPRESENTATION For Claimant Ralph Straetz ("claimant") appeared Robert D. Kraus, Esq., New York, New-York. For Respondent Stoever, Glass & Company, Inc. ("respondent") appeared Michelle Laitres Orlowski, Esq. of Cusack & Stiles, New York, New York. CASE INFORMA