Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Benjamin and Else K. Jacobs, (Claimants) vs, TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 00-05326 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Benjamin and Else K. Jacobs, hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, TD Waterhouse Investor Services, Inc., hereinafter referred to as "R

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Michael Katz v. Name of Respondents Biltmore Securities, Inc., Howard Gostfrand, and Paul L. Burton Arbitration No. 95-04121 REPRESENTATION For Claimant: For Respondents: Deborah A. Klar, Esq. Miller & Holguin Los Angeles, California Peri Erlanger, Esq. Bernstein & Wasserman New York, New Yor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. 96-00482 Name of Respondent Cedric Petersen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February i, 1996, Claimant Gilford Securities, Inc. ("Claimant") through its representative, Larry Wachler, alleged that in August of 1994, Respondent Cedric Petersen ("

r i N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth E. Massingill Revocable Trust 96-00477 Name of Respondent Merrill, Lynch, Pierce, Fenner & Smith, Inc. Bradley J. Hopper Christopher J. Payson David R. McWilliams CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1996, Claimant Ruth E. Massingill as Trust

N.A.S.D.R. AWARD r NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Francis P. Finnegan, Jr. Ida Marie Finnegan vs. NASDR Arbitration No.96-00475 Name of Respondent REPRESENTATION For Claimant: Nancy Loo, Concord, California. For Respondent: Jeanne M. Chamberlin, Esq., Tonkon, Torp, Galen, Marmaduke & Booth, Portland, Oregon. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First of Michigan Corporation 96-00459 Name of Respondent Frederick N. Andreae, Jr. CASE SUMMARY e In a claim filed with the National Association of Securities Dealer, Inc. on January 31, 1996. Claimant First of Michigan Corporation ("Claimant"), through its representative, Karl Nr Gellert, Esq., of the law firm of Miller,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gladstone Wood, Claimant v. Hampton-Porter Investment Bankers and David C. Adams, Respondents Case Number: 00-005373 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: For Respondent David C. Adams: For Respondent Hampton-Porter Investment Bankers: Timothy A. Canning Law Offices of Timothy Canning Novato, California Appearing at

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Robert E. Steele and Jeannine A. Steele, formerly known as Jeannine A. Cunningham v. Name of Respondent Kidder, Peabody, Inc. Arbitration No. 96-00453 For Claimants: For Respondent: Statement of Claim filed: REPRESENTATION Philip M. Aidikoff, Esq., and Robert A. Uhl, Esq. Aidikoff & Uhl Beverly Hill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant D. H. Brooks, Jr. 96-00438 Name of Respondents NationsSecurities Brad A. Palmer CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on January 30, 1996, Claimant D.H. Brooks, Jr, ("Claimant"), who appeared Pro Se, alleged that Respondents NationsSecurities ("NationsSecurities") and Brad A.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between, Name of Claimant The Ohio Company 96-00433 Name of Respondent John R. Trickett REPRESENTATION Claimant The Ohio Company ("Claimant") was represented by Marion H. Little, Jr., Esq., Zeiger & Carpenter, Columbus, OH. Respondent John R. Trickett ("Respondent") did not appear. CASE INFORMATION The Statement of Claim w