N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leslie Ann Fletcher 96-04014 Name of Respondents Fox & Company Investments Nicholas J. Klapp Jim Moldermaker CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 9, 1996. claimant Leslie Ann Fletcher ("claimant"), who appeared Pro Se, alleged that respondents Fox &

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Morgan Stanley & Co., Inc. Name of Respondent 96-04013 .**- --M Steven Yamane •Third-Party Respondent Barry Davis REPRESENTATION For Claimant Morgan Stanley & Co., Inc. ("Morgan Stanley") and Third-Party Respondent Barry Davis ("Davis") appeared Jerry Fortinsky, Esq., of the law offices of Shearman & Sterling, located in New York, New York.

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward and Pauline Zawisza 96-04012 Name of Respondents Prudential Securities, Inc. George Chamberlin CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulators, Inc. on September 9, 1996, Claimants Edward and Pauline Zawisza ("Claimants") through their representative Paul N. Young, of Sec

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04011 Jamal Herrera, claimant v. Greenway Capital Corp., respondent. ATTORNEYS: Claimant appeared Pro Se - Mauldin, SC. Respondent appeared Pro Se - New York, NY. DATE FILED: September 9, 1996. CASE SUMMARY: Claimant alleged that respondent sold his Teletek stock without knowledge or consent. Claim Data Award Data Claim: $10,000.00 Award: $5,000.00

^J>.L2_J£3jLJ»239 OFFICE OF DISPUTE RES 12)003/004 uispute Kesoiwion, \ r^ f?^ n^ n TV/? IE? Q J fe (G l^ U W li IN ARBITRATION BEFORE THE NASD REGULATION. WNUVX QEC 1 3 2001 CHARTER ONE SECURITIES, Claimant, ) v. ) NASD DANIEL ANTIOHO, et ill, ) Respondents. ) I IN ARBITRATION Pursuant to tiie Settlement Agreement of all parlies to Uiis arbitration, the Arbitration Panel empanelled vo hear this case enters the following Agreed O

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04010 George and Joanne Kolovos, claimants v. Stratton Oakmont, Inc. and Peter T. Tsadilas, respondents. ATTORNEYS: For Claimant Claimants appeared Pro Se. - New Castle, PA. Respondent For Respondent Peter T. Tsadilas appeared Andrew Greitz, Esq. - Mitchel Field, NY. DATE FILED: September 9, 1996. CASE SUMMARY: Claimants alleged breach of fiduciary

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the mutter ofthe Arbitration Between Name of Claimant John Julian Name of Respondents Charles Trenio and A.S. Goldmen & Company Arbitration No. 96-04005 For Claimant: For Respondents Charles Trento and A.S. Goldmen £ Company: REPRESKNTATION John Julian In Pro Per Palm Desert. California Lewis S. Goldberg, Rsq. Law Offices of Carole R. Bernstein^

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Ronald Joseph Fay and Joan D. Fay NASD CASE NO. 96-04004 Names of Respondents Josephthal Lyon & Ross Incorporated and Mark Ford REPRESENTATION For Claimants: Jeffrey Tew, Esq. of Tew & Nowak, Miami, Florida. For Respondents: John Bersin, Associate General Counsel of Josephthal Lyon & Ross Incorporated. CASE INFORMATION

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants James A. Pontrich and Diane P. Pontrich Pontrich Forms Service, Inc. James Pontrich IRA 96-04003 Name of Respondent Advest, Inc. For Claimants James A. Pontrich and Diane P. Pontrich, Pontrich Forms Service Inc. and James Pontrich IRA ("Claimants") appeared R. Dale Warren Esq., a sole practitioner located in Louisville, Kentucky. For Respondent Advest Inc. (

SENT BY: 7-26-98 ; 7:52AM JNASO ARBITRATION DPT 12122087581 ;#14/13 AfifiEfi QN. INC QT.TPPTQW In the matter of the Arbitration Name of n a im^yit. ( g ) Albert Jeung Russell Mark Jeung Arbitration NO. 96-03999 Name of Respondent ( a \ Quick & Reilly, Inc. Nace Nickel BEPBBSBHfrATTQM For Claimants: Richard Sacks and Irwin Stein, Investors Recovery Service, Novato r California For Respondents: Dean Urbanaki