Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 97-03383 Martha K. Potter; Arthur Harvey, M.D., individually and as a beneficiary of the Arthur Harvey, M.D., Inc. Employee Defined Benefit Plan; Margaret G. Ostrander; Delores Thomas; and, Vincent A. Cipollaro, M.D., individually and as beneficiary of the Vincent A. Cipollaro, M.D. PC Money Purchase Pension Plan and Defined Benefit Pl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants: Michael Madrid Madrid Associates, Inc. Names of Respondents: Franklin Ross, Inc. a/k/a Netreach Capital Group, Inc. Southwest Securities, Inc. Daniel Marcelo Techera Mark Gerald Ross, Jr. Karen Zillia Fischer Charles Leonard Horn Case Number: 00-02091 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Michael Madrid

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant George M, Bevis 97-03381 Name of Respondent PaineWebber, Inc. REPRESENTATION For Claimant George M. Bevis ("Claimant"): Jeffrey L. Liddle, Esq., Liddle & Robinson, LLP, New York, New York. For Respondent PaineWebber, Inc. ("Respondent"): Frances M. Maloney, Epstein, Becker & Green, PC, New York, New York. CASE INFORMATION Statement of Claim file

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03380 Marilyn K. and James A. Snook, claimants v. Merrill Lynch Pierce Fenner & Smith Inc, respondent. ATTORNEYS: Claimants appeared pro se - Overland Park, KS. For Respondent appeared Christopher D. Calved, Esq. - New York, NY. DATE FILED: 7/9/97 CASE SUMMARY: Claimants alleged unauthorized trading and churning regarding U.S. Treasury Strips. Clai

FE'B-25-aa 15 = 28 FROM = ID: PAGE 2X8 NASD Regulation, Inc. Office of Dispute Resolution 111 the Matter of the Arbitration Between Name of Claimants Thomas P. Dougherty, Jr. Kevin M. Garrow Allen L. Martin 97-03376 Name^flRespondents First Union Capital Markets Corporation First Union Corporation REPRESENTATION For Claimants Thomas P- Dougherty, Jr., Kevin M. Garrow, and Allen L. Martin ("Claimants' 1 ) appeared David B. New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard E. Doherty, Claimant v. Sterling Foster & Company, Inc., James Corcoran, Adam Leiberman, Craig Kellerman, and Frank Monroig, Respondents Case Number: 97-03372 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: In Propria Persona For Respondents Sterling Foster & Company, Inc.,

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Richard Malsbary Carolyn Malsbary 97-03358 Name of Respondents H.J. Meyers & Co., Inc. REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates San Diego, California. For Respondent: Stephen C. Voris, Esq. Burke Warren Mackay & Serritella Chicago, Illinois.

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Walter H. Caldwell Case Number and 97-03357 Name of Respondent Marco Celentano Alfred Napolitano Preston Langley Asset Management (f/k/a Lexington Capital Corporation and Marlowe & Company) REPRESENTATION OF PARTIES For Walter H. Caldwell ("Claimant") appeared Geoffrey M. Horn, Esq. of Lovell & Stewart, LLP, located in New York, New Yor

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ken Leiner Associates, Inc. 97-03354 Name of Respondents Investors Associates, Inc Gregory Mirakian John Moricz REPRESENTATION Claimant Ken Leiner Associates, Inc. ("Claimant") was represented by Arthur M. Schwartzstein, Esq., and Peter Wolf, Esq., McLean, VA. Respondent Investors Associates, Inc., ("Investors") did

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Barovich Associates, Inc. and 97-03351 Name of Respondent The Boston Group, L.P. August C. Miele, Jr. REPRESENTATION OF PARTIES Barovich Associates, Inc. ("Claimant") was represented by Michael P. Cillo, Esq., Davis & Ceriani, Denver, Colorado. The Boston Group, L.P. ("Respondent Boston Group") was represented by Eric S. Hutner, Esq., The Boston Group,