NASD Arbitration No. 96-00368 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Fenway Advisory Group Name of Respondent/Third Parry Claimant Dain Bosworth, Inc. Name of Third-Party Respondents Douglas Glaser and D.A.G. Enterprises, Inc. REPRESENTATION For Claimant: Neil C. Sullivan Fenway Advisory Group Los Angeles, California For Respondent/Third-Party

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Holiday's General Service Corporation, Claimant, v. No. 96-00351 Henry O. Franck, and Prudential Securities, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Holiday's General Service Corporation ("Claimant") was represented by Michael E. Goldstein, Esq. of Hanover Walsh, Jalenak & Blair, Memphis, Tennessee. Respondents Henry O. Franck

flPR.13.1998 7 = 37PiM NflSD REGULATION FL NO.320 P. 16 j: AMENDED N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charles J. and Doris M. Nicholas 96-00345 Names of Respondents Marina Securities, Inc., aka Great American Financial Network, Inc. and Victor Verola REPRESENTATION For Claimants Charles J, and Doris M, Nicholas: William R. Ponsoldt, Esq., of Kohl,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Charles G, Christensen Name of Respondents The Robinson-Humphrey Co., Inc. Brian Moore 96-00341 REPRESEIJTAT1QN For Claimant Charles G. Christensen ("Claimant"), appeared George C Chenggis, Esq. of Richardson & Chenggis, located in Atlanta, GA. For Respondents The Robinson-Humphrey Co., Inc. ("RH") and Brian Moore ("Moore"), appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carmela M. Spano 96-00339 Name of Respondents Advest, Inc. T. Fazzina CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1996 claimant Carmela M. Spano ("Spano"), who appeared Pro Se, alleged that in November 1993 she invested $15,OQQ with respondent Advest, Inc. ("Advest

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John J. Byrnes 96-00335 Name of Respondents Irving Stitsky Jordan I. Shaman REPRESENTATION Claimant John J. Byrnes ("Claimant") appeared pro se. Respondents Irving Stitsky ("Stitsky") and Jordan I. Shamah ("Shaman") did not appear. CASE INFORMATION The Statement of Claim was filed January 23,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between i Name of Claimant Despina Tunsoiu 96-00323 Name of Respondent Chemical Investment Services Corp. REPRESENTAT1QN For Claimant Despina Tunsoiu ("Tunsoiu") appeared Stanley M. Glasser, Esq., located in Lake Success, New York. For Respondent Chemical Investment Services Corp, ("Chemical") appeared Frank J. Cuccio, Esq., of the law offices

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Janet & Philippe Buillet 96-00322 Name of Respondents Olde Discount Corporation Tucker Anthony Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1996, claimants Janet and Philippe Buillet, who appeared Pro Se, alleged that respondents Olde Discount Corporation

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill McColi 96-00315 Name of Respondents Stratton Oakmont, Inc. J. Paul Fallen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1996, Claimant Merrill McColi ("Claimant"), who appeared Pro Se, alleged that Respondents J. Paul Fallon and Stratton Oakmont, Inc. encourag

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael L. Kincaid, and Anne M. Kincaid, as Trustees for the Michael and Anne Kincaid Living Trust, and as Custodians for Samuel L. Kincaid and Matthew M. Kincaid, Claimants, v. No. 96-00280 Prudential Securities , Inc., and Lawrence D. Adelman, Respondents. REPRESENTATION OF PARTIES Michael L. Kincaid, and Anne M, Kincaid , as Trust