N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel I. Hott 96-03823 Name of Respondents Investors Associates, Inc. David Epstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, 1996, claimant Daniel I. Hott ("claimant"), who appeared Pro Se, alleged that respondents Investors Associates, Inc. ("IA") and David Epst

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paul D. Blasetti, Sr. 96-03712 Name of Respondents Bryn Mawr Investment Group Howard Flesher William Robert Frazier, Jr. REPRESENTATION Claimant Paul D, Blasetti, Sr. ("Claimant") was represented by David C. Francescki, Jr., Esq., Stradley Ronon Stevens & Young, Philadelphia, PA. Respondent Bryn Mawr Investment

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-03711 Name of Respondent William Michael Hayden R EPHES1SNTA1TON For Claimant Dean Witter Reynolds, Inc. ("DWR") appeared Meredith W. Holier, Esq., of the law firm Moore & Van Allan, PLLC, located in Charlotte, NC. Respondent William Michael Hayden ("Hayden") appeared pro se, CASE INFORMATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Herman Drauche 96-03710 Name of Respondents Janney Montgomery Scott Inc. Kurt R. Saeger REPRESENTATION Claimant Herman Drauche ("Claimant") was represented by Anthony J. Horn, Esq., Philadelphia, PA. Respondents Janney Montgomery Scott ("IMS") and Kurt Saeger ("Saeger") was represented by Paula S

N.A.S.D. REGULATION, INC AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert M. Hagan 96-03707 Name of Respondent Creenway Capital Corp., now known as, Cortlandt Capital Corporation REPRESENTATION For Claimant: Robert M. Hagan ("Hagan") was represented by Thomas C. Wagner, Esq. of Chattman, Gaines & Stern, located in Cleveland, Ohio. For Respondent: Greenway Capita

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ken C. Bates and Laurie A. Bates 96-03706 Name of Respondent Global Strategies Group Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 27. 1996. claimants Ken C. Bates and Laurie A. Bates ("Bates"), through their representative, R. Nicholas Palmer, Esq., of the la

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Rami Kichi Mahmoud Kichi Case Number and 96-03697 Name of Respondents Prudential Securities, Inc. Wheat First Securities, Inc. Michael Raissis Michael Kerrigan REPRESENTATION OF PARTIES For Rami Kichi and Mahmoud Kichi ("Claimants") appeared G. Alexander Novak, Esq., ofiNovak &Juhase, located in New York, New York. ux Prudential Securit

N.A.S.D. REGULATION AWARD NASD, REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Laura M. Zwick 96-03688 Name of Respondents John V. Guchone Corporate Securities Group, Inc. REPRESENTATION For Claimant Laura M. Zwick appeared Sanford R. Shapiro, Esq. of the law firm of Shapiro, Rosenbaum & Liebschutz, LLP located in Buffalo, New York. For Respondents Bear Stearns & Company, Inc., John V. Guchone, Bear Stearns Se

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-03687 Burt F. Maguire, claimant v. LaCroix Alexander Financial Corp. and GPS Consulting Corp., respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se., St Augustine, FL. For Respondents Dan R. Waller, Esq. - Dallas, TX. DATE FILED: 8/26/96 CASE SUMMARY: Claimant alleged misrepresentation regarding his investment in an oil and gas joint v

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03685 Mark M. & Joclyn Melzl, claimants v. ^ufhauser & Company, Inc., Jim Rickets and Ameritrade Inc., respondents. ATTORNEYS: Claimants appeared pro se - Old Bridge, NJ. For Respondents appeared Jim Rickets - New York, NY. DATE FILED: 8/26/96 CASE SUMMARY: Claimant alleged misrepresentations and omissions, breach of fiduciary duty, breach of the impli