on QIC/ NATIONAL ASSOCIATION OF SECURITIES DEALERS - DISPUTE RESOLUTION, INC. ARBITRATION AND MEDIATION DIVISION NEW YORK, NEW YORK CHRISTIAN P. BROKER, BRYAN CLANCY, WILLIAM J. GILLIGAN, JR., JEFF H. GOLDBERG, MICHAEL MARTINO, GEORGE NIKOLAKAKOS, GREG PATTERSON, CESAR ROMAN, JUERGEN H. SCHUMANN, JR., JOSEPH M. SUGRANES, JR. and WALTER TRINIDAD, Claimants, - against - S.G. MARTIN SECURITIES LLC, STEPHEN DRESCHER and KEITH BARON,

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard P. and Elizabeth A. Sickler. vs. 97-04271 Name of Respondent Merril Lynch Pierce Fenner & Smith Inc., Charles Webster and Helen S. Pinyon REPRESENTATION OF PARTIES Claimants, Richard P. and Elizabeth A. Sickler ("Claimants") represented themselves. Respondents, Merrill Lynch Pierce Fenner & Smith In

MfiR.16.1998 l-'BSPM MRSD REGULATION FL NO. 524 P. 14/15 N.A.S.D. REGULATION, INC. AWAKD NATIONAL ASSOCIATION OF JECURTITES DEALERS REGULATION, INC, CASE; 97-04269 , Howard?. Ereckenridge, Claimant v, GKN Securities Corp,, Roger N. Gladstone and Norman Brodeuer, Respondents REPftESENTATlON: Claimant Howard F. Breckenridge appeared Pro Se, For Respondents GKN Securities Corp,, Roger N. Gladstone and Norman Brodeuer: Katheriae Nathan, Esq. of GKN Secu

NASD Regulation. Inc. Office of Dispute Resolution Arbitration No. 97-04265 Award Page 1 Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Florence Luvera, (Claimant) vs. Churchill Securities, Inc., Weiss, Peck & Greer and Emest Liberatore, Jr., (Respondents) Case Number: 97-04265 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Florence 1 Luvera, ("Luvera"), hereinafter referred to as "Claimant"

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between , Name of Claimants) Nicholas DeSanto Aero Plumbing & Heating Co., Inc. 97-04264 Name of Respondent(s) Stephanie Miranda Michael Dennis Defelice HGI REPRESENTATION For Claimants Nicholas DeSanto and Aero Plumbing & Heating Co., Inc. ("Claimant") appeared Adam Silverstein, Esq. Respondent Stephanie,Miranda ("Miranda") appeare

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04262 Carl E. Gnind, claimant vs. Franklin-Templeton Distributors, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Scotia, NY. For respondent appeared Daniel Can - San Mateo, CA. DATE FILED: 8/29/97 CASE SUMMARY: Claimant alleged untimely transfer of mutual fund resulting in loss. Claim Data Award Data Claim: $887.27 Award: $.00 Punitive

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04261 Jackson B. McCarty, III, claimant vs. Steven Hession, Richard Vitagliano and Smith Benton & Hughes Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Marion, VA. Respondent Steve Hession appeared Pro Se - Holbrook, NY. Respondent Richard T. Vitagliano appeared Pro se - Levittown, NY. For Respondent Smith Benton & Hughes, Inc. appeared Claudia

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC, CASE: 97-04260 Leonard Maggio ST., claimant vs. The Boston Group, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Hacienda heights, CA. For Respondent appeared Eric S. Hunter, Esq. - New York, NY. DATE FILED: 8/29/97 CASE SUMMARY: Claimant alleged overcharging in the trading of common stock. Claim Data Award Data Claim: $1,154.67 Award: $.00

N.A.S.D. REGULATION, INC. AWARD CASE: 97-04259 MicroCal, Inc., claimant vs. PCM Securities Limited, LP and Alfred Zecchine, respondents. ATTORNEYS: For claimant appeared John Brandts - Northampton, MA. For Respondent Alfred Zecchine appeared - Allison M. Johnsen, Respondent PCM Securities Limited, LP did not appear. DATE FILED: 8/29/97 CASE SUMMARY: Claimant alleged misrepresentation and failure to follow instructions. Claim Data Award Data Clai

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04258 Stephen P. Ratner, claimant vs. Charles Schwab, respondent. ATTORNEYS: Claimant appeared Pro Se. - Boynton Beach, FL. For Respondent appeared Rhonda Jones, Esq. - San Francisco, CA. DATE FILED: 8/29/97 CASE SUMMARY: Claimant alleged unauthorized trading and failure to follow instructions. Claim Data Award Data To be made whole regarding Award: De