NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Jerry W. Carter CASE NO. 96-00417 Name of Respondents Gerald P. Hirsch Churchill Securities, Inc. Kevin M. Mahon Name of Third Party Respondent Avin E. Bakal REPRESENTATION Claimant Jerry W. Carter ("Claimant"): Howard B. Fossick, Esq. of the law firm of Arent Fox Kintner & Kahn, Washington, DC

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Boston Group, L.P. 96-00409 Name of Respondent Gerard E. Burns REPRESENTATION For Claimant: Richard P. Ryder, Esq., Maplewood, New Jersey. The Respondent Gerard E. Burns did not appear. CASE INFORMATION Statement of Claim filed: January 29, 1996. Amended Statement of Claim filed: June 13, 1996. Claimant's Submis

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 96-00403 Name of Respondent Kirby L. Hatchett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1996 Claimant PaineWebber, Inc. ("claimant"), who appeared through its representative and in-house counsel, Thomas M. Mierswa, Jr., Esq., alleged that respondent

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Glenna Eacret and Eleanor Mosca and 96-00400 Name of Respondent NationsSecurities REPRESENTATION OF PARTIES Glenna Eacret and Eleanor Mosca ("Claimants") were represented by Robert A. Fink, Esq., Investment Loss Recovery Group, San Diego, California. NationsSecurities ("Respondent") was represented by Cory Hohnbaum, Esq., Kenned

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant: Fidelity Brokerage Services, Inc. Name of Respondent: Craig Michael Porter Case No: 00-05359 Hearing; Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Fidelity Brokerage Services, Inc. ("Fidelity") hereinafter referred to as "Claimant": Laurence K. Richmond, Laurence K. Richmond & Associates, P.C., Quincy, Massachusetts. Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leroy N. Miller & Suree G. Miller Trust 96-00390 Name of Respondents Dean Witter Reynolds Inc. Philip Bresnick Susan N. Dandridge Timothy J. Walsh CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on January 26, 1996, claimants Leroy and Suree Miller, as Trustees for the

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Hoang Nguyen 96-00384 Name of Respondents Smith Barney Shearson, Inc. Steven D. Garber Paul M. Hatch John W. Sheehan Irvin a. Cross REPRESENTATION Claimant Hoang Nguyen ("Claimant") was represented by Lisa P. Clesner, Esq., Silver Spring, MD. Respondent Smith Barney Shearson, Inc. ("SBS"), Paul

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis Lockwood 96-00377 Name of Respondents TAJ Global Equities, Inc. Daniel Glass Paul N. Ignat CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1996, Claimant Dennis Lockwood ("Claimant"), who appeared Pro Se, alleged that Respondents TAJ Global Equities, [nc. ("T

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Leroy E. Nedom Gwendolyn C. Nedom v. Arbitration No. 96-00375 Name of Respondent^ Hugh Gee & Company, Inc. Quest Securities, Inc. Hugh Gee Terrence H. Gee REPRESENTATION OF PARTIES Leroy E. Nedom and Gwendolyn C. Nedom ("Claimant") was represented by Scot D. Bernstein, Esq., Law Offices of Scot D. Bernstein, S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gholam Rahman, Zeenat Rahman, Geyashuddin Ahmed, Muhammed Youssuf, and Maksudur Rahman, (Claimants) vs. Josephthal & Co., Inc. and Sheik Elahisiddiqui, (Respondents) Case Number: 00-05357 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Gholam Rahman ("G. Rahman"), Zeenat Rahman ("Z. Rahman"), Geyashuddin Ahmed ("Ahmed"), Muhammed Youssuf ("Youssuf"), and Maksud