N.A.S.D. AWARD NA-nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration B^een James C. and Jayne L. Stuart 96-03297 96-03044 96-03360 96-01743 96-03369 ^age9fRwp9q'lepp John A. Stanley Newby & Company In a case filed with the National Assocaition of Securities Dealers Regulation, Inc. on April 22, 1996, claimants James and Jayne Stuart ("claimants"), who appeared Pro Se, alleged that respondents John Stanley ("St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration B^een James C. and Jayne L. Stuart 96-03297 96-03044 96-03360 96-01743 96-03369 Name of Respondents John A. Stanley Newby & Company CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, Inc. on April 22, 1996, claimants James and Jayne Stuart ("claimants"), who appeared Pro Se, alleged that respondents J

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Richard S. Hinkle Harry Little Larry Brouse Name of Respondents Ben Lichtenberg Bryn Mawr Investment Group, Inc. 96-01990' 96-02620 96-05032 REPRESENTATION Claimants Richard S. Hinkle ("Hinkle"), Harry Little ("Little") and Larry Brouse ("Brouse") were represented by James D. Ingram, E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Richard S. Hinkle Harry Little Larry Brouse Name of Respondents Ben Lichtenberg Bryn Mawr Investment Group, Inc. 96-01990 96-02620 96-05032 REPRESENTATION Claimants Richard S. Hinkle ("Hinkle"), Harry Little ("Litde") and Larry Brouse ("Brouse") were represented by James D. Ingram, Esq

o- o N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbituration Bet:ween ~ msfs of Claimantfs^ Rose Jacobson and Joan Astrin 89-03379 & 90-00693 (consolidated cases; Name of Restxandent f s ^ Fuhrman Matt Securities, Inc. Mark Scheinbaum o CASE SUMMARY Claimant Rose Jacobson alleged t±at Respondents executed unauthorized, imsolicited trades in municipal t:rusts in her account creating loss

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 98-01381 Akbarali G. Virani, M.D., P.C, Defined Benefit Plan and Nazlin Virani, (Claimants) vs. Frank J. Skelly, Jordan Belfort, Daniel Porush, Irving Stitsky, Kenneth Greene, Duke & Company, Inc., Marshall Bernstein, Maidstone Financial Corp., Stuart Litman, Jerard Basmagy, George Carlo, and Vincent Molinari, (Respondents) consolidated with: Case Number: 97-03779

Award NASD Regulation, Inc. In the Matter of the Consolidated Case entitled "Norris Consolidated Cases" Consolidated Case Number: 98-01186 Nonis v. Renaissance Financial Securities Coiporation, et al. 98-01186 Schmid v. Renaissance Financial Securities Corporation, et aJ. 97-03388 Huxman v. Renaissance Financial Securities Corporation, et al. 98-01020 Cm^mi\f^: 98-01186 Hearing Site: Los Angeles, CaUfomia John D. Norris and Dewanna D. Norris, Claimants v.

Award NASD Regulation, Inc. In the Matter of the Consolidated Case entitled "Norrls Consolidated Cases" Consolidated Case Number: 98-01186 Norris v. Renaissance Financial Securities Corporation, et al. 98-01186 Schmid v. Renaissance Financial Securities Corporation, et aJ. 97-03388 Huxman v. Renaissance Financial Securities Corporation, et al. 98-01020 C?se Number: 98-01186 Hearing Site: Los Angeles, California John D. Nonis and Dewanna D. Norris, Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William H. Boscole, Jr. and Matthew Boscole, Claimants v. Adams, Hess, Moore & Co., Strand, Atkinson, Williams & York, Inc., successor in interest to Adams, Hess, Moore & Co., and Scott M. Davis, Respondents Case Number: 02-03816 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: David J, Swee

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant W.R. Lazard, Laidlaw Incorporated vs. Names of Respondents Greenwich Global, L.P. Phoebe Zaslove Case No. 97-02386 Consolidated With In the Matter of the Arbitration Between Name of Claimant Greenwich Global, L.P. vs. Name of Respondent W.R. Lazard, Laidlaw Incorporated Case No. 97-02637 REPRESENTATION W.R. Lazard, Laid