N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namt Thomas E. and C. Juanita Haislip 96-02891 Name of Respondents Retirement Investment Group Thomas Cannon Gail A. Gentry TEI Strategies, Inc. REPRESENTATION For Claimants: Michael Pursley, Esq., Safety Harbor, Florida. For Respondent Retirement Investment Group ("RIG"): James Thornton of RIG. Respondent Thomas Cannon ("Cannon") a

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Scott Peterson and 96-02890 Name of Respondent Lewis, deRozario & Company, Inc. John R. Green BenjaminHirsh Timothy E. Nelson REPRESENTATION OF PARTIES Scott Peterson ("Claimant") was represented by Gene R. Thornton, Esq., Colorado Springs, Colorado. Lewis, deRozario & Company, Inc. ("Respondent LDR"), John R. Green

Stipulated Award NASD Dispute Resolution In The Matter of the Arbitration Between: First Union Securities, Inc., Claimant, Vs. Donald T. Cavett, Respondent. Hearing Site: Dallas, Texas Case Number: 00-05100 REPRESENTATION OF PARTIES Thomas A. Volz of Kane & Fischer, Ltd., Chicago, Illinois, represented Claimant, First Union Securities, Inc., now known as Wachovia Securities, Inc. A.R. Rodriguez of Lynn Tillotson & Pinker, L.L.P., Dal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant PaineWebber, Inc. 96-02884 Name of Respondent Theodore A. Molnar REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Peter J. Bado, Esq., PaineWebber, Inc., Los Angeles, California. Theodore A. Molnar ("Respondent") represented himself pro se. CASE INFORMATION The Statement of Claim was fil

N.A.S.D. Regulation AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant JW Charles Securities, Inc. 96-02879 Name of Respondent Anthony Dinota CASE SUMMARY In a case filed National Association of Securities Dealers Regulation, Inc. on July 8, 1996, claimant JW Charles Securities, Inc. ("JWC" or "claimant") through its representative and in-house counsel Gregory Tenderich, Esq. alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. NASD CASE NO. 96-02878 Name of Respondent Donald Michlin REPRESENTATION For Claimant: Gregory Tendrich, Esq., Assistant General Counsel of J.W. Charles Securities, Inc. For Respondent: L. Van Stillman, Esq., Law Offices of L. Van Stillman, Boca Raton, Florida. CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Russoniello 96-02877 Name of Respondent Securities Research, Inc. REPRESENTATION For Claimant: Claimant's father, Joseph P. Russoniello (uncompensated "attorney in fact" representative). For Respondent: Layne Verebay, Esq., Freedman & Verebay, P.A., North Miami, FL. CASE INFORMATION Statement of Claim filed: July 1,

AWARD NASD Regulation, Inc. Office of Dispute Resolution .. In the Matter of the Arbitration Between Larry Craig Clutter, and Roxe Ann Clutter Claimants, and No. 96-02870 Dennis Wu, Respondent. REPRESENTATION OF PARTIES Claimants Larry Craig Clutter (individually referred to as "Clutter") and Roxe Ann Clutter (collectively referred to as "Claimants") appeared pro se. Respondent Dennis Wu ("Wu" or "Respondent 1 *) appeared pro se.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alfred G. and Mae Adele Lynch 96-02868 Name of Respondents Olde Discount Corporation Steven Solano REPRESENTATION For Claimant: Scott Taylor, Securities Arbitration Specialists, Inc., Veto Beach, Florida, Richard C. Migtiaccio, LL.M., Winter Park, FL and Joel S. Hanover, Esq., Vero Beach, FL. For Respondents: Ina N. Otto,

STIPULATED M . A . S . D . NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant PaineWebber Incorporated No. 96-02866 Name of Respondent James B. Moran REPRESENTATION OF PARTIES For Claimant: Lubiner & Schmidt Attn: David W. Schmidt, Esq. For Respondent: INFORMATION Statement of Claim filed on or about July 3, 1996 Claimant's Submission Agreement signed on July 3, 1996 Statement of Answer filed on or about August 8, 1996