N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant The Estate of Katiiy Dzanko 95-05258 Name of Respondent WiUiam Root Roney & Company Dean Witter Reynolds, Inc. REPRESENTATION Claimant Marija Dzanko, Executrix of the Estate of Kathy Dzanko ("Claimant") was represented by Scott H. Kahn. Esq., Mclntyre. Kahn, Kruse & GUlombardo, Cleveland, OH. Respond

1 « N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name nf Claimants H11 lei and Paulette Bronstein 95-05252 Name of Respondents W.J. Nolan &. Company, Inc. Annette Richmond REPRESENTATION For Claimants Hillel and Paulette Bronstein appeared Donald Rosenthal of the law firm Rosenthal. Judeil & Uchima located in New York. New York. For Respondents W. J. Nolan & Co., Inc. and Annett

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants James &. Dorothy Han 95-05248 Name of Respondents Gilbert Marshall & Co. Dena Halfacre REPRESENTATION Clamiants James and Dorothy Han ("Claimants") were represented by Harry A. Tipping, Esq., Akron. Respondent Gilbert Marshall & Co. ("GM") was represented by Mark A. Phillips. Esq.. Benesch Fnedlander Co

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant First Nevisian Stockbrokers Limited 97-04180 Name of Respondents ACS Financial Services, Inc. Peter Panareillo Eric Aronson David Shapiro Patterson Travis, Inc. Judah Wernick REPRESENTATION Claimant First Nevisian Stockbrokers Limited ("Claimant") was represented by Steve Larson- Jackson, Esq. and W. Kwame Anthony, Esq. of the Law Firm of La

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf :thejClaimanls Case^mahei: 97-04176 Josephine W. Wolfe, Individually & Josephine W. Wolf as Trustee for The Alexander Wolf Trust n f thf RfrgpnT^Hpntg Hearing ^it?" Houston, Texas Merrill Lynch, Pierce Fermer & Smith, Inc., and John Louis Lipinski REPRESENTATION OF Claimants Josephine W. Wolfe, Individually & Josephine W. Wolf as Trustee for The Alexander Wolf

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04171 Helen B. Johnson, claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., James Wick. Robert Hollinger, respondents. ATTORNEYS: Claimant appeared Pro Se. - Scottsdale, AZ. For Respondents appeared Ronald Gale, Esq. - New York, NY. DATE FILED: 8/25/97 CASE SUMMARY: Claimant alleged unsuitability and that respondents failed to warn about tax conseq

AWARD NASD Regulation, Inc. CASE: #97-04170 Billie A. Barr, claimant vs. First Cambridge Securities Corp., respondent. ATTORNEYS: Claimant, Billie A. Barr, appeared Pro Se., Marietta, GA Respondent, First Cambridge Securities Corp., did not respond to the Statement of Claim. DATE FILED: 08/25/97 CASE SUMMARY: Claimant alleged that he was pressured into purchasing shares of Bristol Technologies common stock, which immediately declined in value. C

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Julia Iskra 97-04167 Names of Respondents Timothy Francis Manning, Jr. Centennial Capital Management, Inc. World Invest Corp. American Eagle Financial Services REPRESENTATION For claimant Julia Iskra ("claimant") appeared Kevin A. Brousell, Esq. of the law offices Brousell & Associates located in New York, New York. Respondent Timothy Francis Ma

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara M. Hyde 97-04164 Names of Respondents Maidstone Financial, Inc. Eric John Weiss Alain Gonzalez Allen E. Litman George Carlo, Jr. Marshall Alan Bernstein Linda Diane Bernstein Jerard Basmagy Michael Lewis Accurso Debra Michele Snyder REPRESENTATION For Claimant: J. Pat Sadler, Esq. of the law firm of Sadler & Associates, P

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Danny Dill d/b/a Dill Oil Company Case No. 00-02178 Hearing Site: Oklahoma City, Oklahoma Morgan Stanley & Co., Incorporated; Gary G. Hillman; and, William D. Link, Jr. OF PABTlFS Claimant Danny Dill d/b/a Dill Oil Company ("Dill") was represented by Daniel Woska, Esq. of the firm of Woska & Hasbrook, located in Oklahoma City, Oklahoma. Respondents Morgan Stanle