L MflY. 4.1998 1=34PM NftSD REGULATION R. NO.096 P.4/9 N.A.S.D, AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between - ' Namq- of Claimant Digestive Disease Consultants of South Florida, P.A, Pension Plan 97-02767 Name of Respondatit Pension Investors Securities Corporation REPRESENTATION Fot Claimant Digestive Disease Consultants of South Florida, P,A. Pension Plan ("DDC"); Curtis Carlson, Es

fyr N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02764 John E. Hunt, Jr., claimant v. Robert L, Giardina, respondent. ATTORNEYS: Claimant appeared pro se - Tampa, Florida. Respondent did not appear. DATE FILED: June 03, 1997 CASE SUMMARY: Claimant alleged unsuitability. Claimant further alleged respondent failed to keep his promise to watch the stock so claimant would not lose money. Claim Da

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02762 Norma J. and E. Gordon Richardson, claimants vs. Michael S. Trocchio, and the Norfolk Securities Corp., respondents. ATTORNEYS: Claimants appeared Pro Se. - Kerrville, TX. Respondents did not appear. DATE FILED: 6/3/97 CASE SUMMARY: Claimants alleged unauthorized trading. Claim Data Award Data Claim: $1,065.50 Award: $1,065.50 Punitive: $

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: QTUIMI A CO. tnnwtmmui V. Janioe ForaiMn Attorneys'. Rtetard I jMway EM}. - Niw York, NV Janioe FormMt - Chkago, IL 3^ Dale Filed: 02/22/93 First Scheduled: 03/21/94 Deckled: Case Summary: lulambw flrm wW)ttw flrm, Rrmalto daims linn. regiWfqd mpfwwiaiilwa dtlaiatd in wpaynwnt of« promiiiBfy note dMingwasprovidadtorintfioimiiloyiwiiiiagroamant R^lriwad

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence G. Grover and Vicki Colleni v. Dean Witter Reynolds Inc. and Margaret Schumacher Attorneys: For Claifnaiit(s): Mark E. Sanders Esq. - Milwaukee, WN For Respondent(s): David Rostaino Esq. - San Francisco, CA Date Filed: 05/12/92 First Scheduled: owoms Decided: //^i,yf3 Case Summary: Customers (brother and sister) against member firm and registered representativ

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Ronald D. and Ann M. Malloy 97-02760 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimants Ronald D. and Ann M. Malloy ("Claimants") appeared Claimant Ronald D. Malloy pro se. For Respondent Dean Witter Reynolds, Inc. ("Respondent") appeared Stephen T. Paine, Esq., in-house counsel for Dean Witter Reynolds, Inc. located in New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey R. Poe (Claimant) v. Prudential Securities, Lie. and Anthony F. Sorace (Respondents) Case Number: 02-00953 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Harvey R. Poe ("Poe") hereinafter referred to as "Claimant": G. Martin Meyers, Esq., Law Offices of G. Martin Meyers, P.C., Denville, NJ

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey R. Poe (Claimant) v. Pnidential Securities, Inc. and Anthony F. Sorace (Respondents) Case Number: 02-00953 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Harvey R. Poe ("Poe") hereinafter referred to as "Claimant": G. Martin Meyers, Esq., Law Offices of G. Martin Meyers, P.C., Den

AMENDED STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eugenia Alba vs. Case Number: 02-00677 Hearing Site: Chicago, Illinois Names of Respondents Stifel, Nicolaus & Co., Inc., Dalyne Shinneman, Michel Schenone, Kathleen Michael, David Hogan, and Edward Roth NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Eugenia Alba ("Alba" or "Claiman

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donna Moyers vs. 97-02755 Name of Respondent Smith Barney, Inc. REPRESENTATION OF PARTIES Claimant Donna Moyers ("Claimant") was represented by Curtis M. Hairston, Jr., Esq., Williams, Mullen, Christian & Dobbins, and Sharon Homer, Richmond, VA. Respondent Smith Barney ("Respondent") was represented by Christopher O'Malley, Solo