NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Stanley Katz 96-03972 Name of Respondents H.J. Meyers & Co., Inc. Mark J. Allen ' Robert J. Setteducati REPRESENTATION For Claimant Stanley Katz ("Katz") appeared Dan Brecher, Esq., a sole practitioner with offices located in New York, New York. For Respondents H.J. Meyers & Co., Inc. ("Meyers") and Robert J. Setteducati ("Setteducati") appeared

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Barry Habib 96-03970 Name of Respondents H.J. Meyers & Co., Inc. Thomas James Associates, Inc. Mark Allen Robert Seteducatti REPRESENTATION For Claimant Barry Habib ("Habib") appeared Dan Brecher, Esq., a sole practitioner with offices located in New York, New York. For Respondents H.J. Meyers & Co., Inc. ("Meyers"), Thomas James Associates, Inc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Norm Brewer 96-03968 Name of Respondents Corporate Securities Group, Inc. Michael Austin Robert Burton CASE SUMMARY In a case tiled with the National Association of Securities Dealers Regulation, Inc. on September 5, 1996, claimant Norm Brewer ("claimant") through his representative and counsel A

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jo Ann T. Lumsden 96-03967 Name of Respondents Prudential Securities Inc Prudential Sec-Managed Assets Consulting Kenneth Tarnashiro David Farrington REPRESENTATION Claimant JoAnn T. Lumsden ("claimant") appeared Pro Se. For respondent Kenneth Tamashiro ("Tamashiro") appeared his attorney Mic

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Susan Ann Bardfield Trust 96-03964 Name of Respondents PaineWebber, Ine, Laurence Wood REPRESENTATION Epr claimant the Susan Ann Bardfield Trust appeared Philip Raible, Esq. of the law offices Squadron, Ellenoff, Ptesent & Sheinfeld located in New York, New York, i ; For respondents PaineWebber, Inc. ("PaineWebber") and Laurence Wood ("Wood") (collectively "r

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ellis T. Prince, Jr. 96-03961 Name of Respondents Prudential Securities Inc Robert Provence Warren E, Rowe REPRESENTATION Claimant Ellis T. Prince, Jr. ("Claimant") was represented by James B. Thorsen, Esq., Thorsen, Marchant & Scher, Richmond, VA. Respondents Prudential Securities, Inc. ("PS

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert W. Pohl, Bruce D. Gardner, Greg W. Scholl and Kenneth V. Moe and 00-05181 Southfield, Michigan Seaboard Securities, Inc., and Jason Remini REPRESENTATION OF PARTIES Robert W. Pohl ("Pohl"), Bruce D. Gardner ("Gardner), Greg W. Scholl ("Scholl"), and Kenneth V. Moe ("Moe"), referred to as "Claimants" were represented by G. Martin Cole, Esq., Rothberg Logan

NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Domenici Family Trust, dated July 20, 1992, John Domenici, Trustee No. 96-03960 Claimant, ORDER/AWARD v. Bank of America Investment Services, Inc., Respondent. REPRESENTATION OF PARTIES Claimant was represented by Michael Salcido. Respondent was represented by Brian J. Campbell. CASE INFORMATION

BY: 8-28-98 ; 4:18PM ;NASD ARBITRATION DPT-> 12122085165;#12/21 AWARD NASD Regulation, Lac. Office of Dispute Resolution In the Matter of the Arbitration Between Don C. Hayfies and Arbitration No. 96-03956 Smith Barney, Inc. Jeffrey Stevenson Off PABTJIS Don C. Haynes ("ClaJnuiiir) was represented by Paul W. Thomas, Esq., Law Offices of Paul W. Thomas, Esq., Carlsbad, California. Smith Barney, Inc., and Jeffrey Stevenson ("Respondent

SHNT BY: 6-14-99 ;ll:38AM ;NASD ARBITRATION DPT^ 12122087581;#16/31 REQUIATIOM. IHfP- • OPPTCS Of DISPUTE RESOLffTIOH In the matter of the Arbitration Between Mams of Claimant(al J'eral R. Fontaine Arbitration No. 96-03955 Name of Respondent: fs) Cohig & Associates, inc. Edwin Raymond REgRESEHTATlOM For Claimant: Jeffrey L. Gaffney, Esq., San Diego, For Respondents: Russell K. Bean., Ksq. , Cohig & Associates, Ino*, Knglewood , C