NASD REGULATION, BSC. Lincoln E. Smith vs. AWARD In the Matter of the Arbitration Between Name of Claimant Case No. 94-05083 y Investment Management & Research, Inc. Raymond, James & Associates, Inc. For Claimant, Lincoln E. Smith ("Claimant") William A. Sheridan, Esq. and Robert Lapping, Esq. from the firm of Flynn, Sheridan & Tabb located in Boston, Massachusetts. For Respondents, Investment Management & Research, Inc. ("IM«&R") and Raym

Corrected Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Thomas W. Olick Claimant, Edison Dippel Jean Dippel Wayne Dippel Patsy LaRosa Wayne Griffiths Thomas Nikles Thomas W. Olick Claimant Case No. 94-05051 In the Matter of the Arbitration Betweea Case No. 96-01247 John Hancock Distributors, Inc. John Hancock Mutual Life Ins. Co. Joseph DiMento DiMento General Agency (a/k/a DiMento

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter- of the Arbitration Between Name of Claimant Andreas Hess v. Name of Respondent TYM Securities, Inc. Scott Mclntosh Donald Yen and Billy Thedford Arbitration No. 98-000512 For Claimant: REPRESENTATION For Respondent TYM Securities, Inc. and Don Yen: For Respondent Scott Mclntosh: Arthur S. Leider Investors Arbitration Specialists, Inc.

FINAL ORDER NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between William C. Cox, II, Claimant, and No. 94-04988 A.G. Edwards & Sons, Inc. and Jimmie Duane Ross, Respondents. REPRESENTATION OF PARTIES Claimant William C. Cox, II was represented by M. Stanley Givens, Esquire, located in Johnson City, Tennessee. Respondent A G. Edwards Sc Sons, Inc. was represented by William S. Port, Esquire of A G. Edwards

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Samuel B. Sinay, as Trustee of the Samuel B. Sinay and Charlotte Sinay First Amended trust Agreement, Dated January 11, 1982, Lynne Sinay, and Sandra P. Mindlin fc/yiiu Name of Respondents Shearson Lehman Brothers, Alan Minter, and Joseph Schirripa NASD Arbitration No. 93-05417 For Claimants: For Respondent

N.A.S.D. AWARD NATTONAT. ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Michael T. Gurling NASD Arbitration No. 94-04984 Name of Respondents Prudential Securities, Inc., PaineWebber, Inc., Michael Sullivan, and Gary Ritzman REPRESENTATION For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, Califomia For Respondents: Terry Ross, Esq. Keesal, Young & Logan Long

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ahce R. Falkenstein 93-05405 Name of Respondent Hanifen, Imhoff Inc. © National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION Claimant Alice R. Falkenstein ("Claimant") appeared Pro Se. For Respondent Hanifen, Imhoff Inc. ("Respondent") appeared Richard T. Heubner, Esq. of Hanifen, Imhoff

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Kay V. Kuehner-Hebert V. Arbitration No. 94-04826 Name of Respondent Dickinson & Co. REPRESENTATION OF PARTIES Kay V. Kuehner-Hebert ("Claimant") was represented by Mark T. Bennett, Esq., Merrill, Schultz & Wolds, San Diego, Califomia. Dickinson & Co. ("Respondent") was represented by Barbara Bennett, Esq., Dickinson & Co., D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas J. Sullivan 93-05247 Name of Respondent Robert W. Baird & Co., Inc. REPRESENTATION For Claimant: Thomas J. Sullivan ("Sullivan") was represented by Peter S. Balisteri, Esq. of Dubin, Balisteri & Schelble, Ltd., located in Milwaukee, Wisconsin. For Respondent: Robert W. Baird & Co., Inc, ("Baird") was represented by Maureen

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Clainiant Robb, Peck, McCooey Clearing Corporation 94-04824 Name of Respondent Mel Paikoff REPRESENTATION For Claimant, Robb, Peck, McCooey, Clearing Corporation, appeared George Brunelle, Esq., sole practioner, located in New York, New York. For Respondent, Mel Paikoff, appeared Edward S. Wactlar, Esq., ofthe law firm Blau Kramer Wactlar & L