NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between John Harvison Claimant, v. No. 95-03549 Oppenheimer & Co , Inc and Jay F. Dingee Respondents, REPRESENTATION OF PARTIES Claimant John Harvison was represented by Edward W. Russey, III, Esquire of Law Offices of Jeff Ferentz, located in Newport Beach, CA. Respondents Oppenheimer & Co., Inc. and Jay F. Dingee were represented by Eugene L. Small

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: J.J.B. Milliard, W.L. Lyons, Inc. and William Mark Boehmier, Claimants, V. No. 95-03545 First Citizens Financial Plus, Inc., Respondent, REPRESENTATION OF PARTIES J.J.B. Milliard, W.L. Lyons, Inc. and William Boehmier ("Claimants") were represented by Saul C. Belz, Esq. of Waring Cox, Memphis, Tennessee. First Citizens Financial Plus, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore G. Fitch Trust Theodore G. Fitch Elizabeth S. Fitch Trust Elizabeth S. Fitch 95-03536 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimants: Guy M. Burns, Jr., Esq. of the law firm of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Tampa, Florida. For Respondent; Keit

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jacqueline Faye Steffler Claimant NASD Arbitration v. No. 95-03534 Kidder Peabody & Co. Carl F. Neuman Respondents REPRESENTATION OF PARTIES Jacqueline Faye Steffler ("Claimant") was represented by Arthur S. Leider, Investors Arbitration Services, Kidder Peabody, Inc. and Carl Neuman ("Respondents") were represented by William H. Phel

NASD Arbitration No.95-03531 N.A.S.D. AWARD NATTONAT A.^nrTATTON OF SFrTmiTTPS DEALERS, TMf! In the matter of the Arbitration Between Name nf Claimant Allen W. Guisinger Name nf Respondent Bear Stearns & Co., Inc. James Weymouth RKPRFSFNT ATTON For Claimant; Randolph I. Gordon, Esq., Casey Gordon Davis, P.S., Bellevue, Washington For Respondent: Shannon L. McDougald, Esq., Keesal, Young & Logan, San Francisco, California TASF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Grigori Tsoukanov 95-03528 Name of Respondents M. Rimson & Co., Inc. Bob Judge Mark Judge Dan Dietrich REPRESENTATION For Claimant appeared Jeffery B. Melcer, Esq. of the law Finn Ross, Suchoff, Egert & Hankin, P.C. located in New York, NY. Respondents, M. Rimson & Co., Inc., Bob Judge, Mark Judge and Dan Dietrich, did

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter Deavenport, Claimant v. Pamela S. Kelty and Beverly J. Kelsen, Respondents Case Number: 00-05315 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Peter Deavenport: Paul C. Deavenport, Esq. Fullington & Deavenport, LLP Ventura, California For Respondent Pamela S. Kelty: Neal S. Robb, Esq. Keesal, Young & Logan, PC Long Beach, Califo

NASD REGULATION, INC. AWARD In the Matter of thj Arbitration Between Name of Claimant Wayne H. Sapp 95-03522 Name of Respondents R.K, Steele Richard K. Steele, Sr. Michael McFarquhar REPRESENTATION For Claimant Wayne H. Sapp ("Claimant") appeared Martin L. Feinberg, Esq., a sole practitioner with law offices located in New York, New York. Respondent R.K. Steele ("R.K. Steele") did not enter an appearance in this matter. Responden

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Patricia A. Ruffolo and 95-03519 Name of Respondent Rothschild Global Investments, Inc. William C. Gerhauser William H. Gerhauser Lars Bredal REPRESENTATION OF PARTIES Patricia A, Ruffolo ("Claimant 11 ) was represented by Arne R. Rode, Esq., Chicago, Illinois. Rothschild Global Investments, Inc. ("Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimant (s) Dean Witter Reynolds Inc Name of Respondent (s) Gregory L . Chilccte NASD Arbitration No. 95-03515 REPRESENTATION For Claimant: Ann C. Liburd, Esq., Burr, Pease & Kurtz, Anchorage, Alaska For Respondent: Gregory L. Chilcote, Anchorage, Alaska CASE INFORMATION Statement of Claim riled: July 10, 1995 Clai