N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01519 Joy L. Hartman, Trustee/Joy Lamb Hartman Revocable Trust, claimant vs. Progressive Asset Management, Inc. and Thomas W. VanDyck, respondents. ATTORNEYS: Claimant appeared Pro Se, Santa Cruz, CA - also represented by Morton Levy of Investor Advocates, Oakland, CA. For Respondents appeared Hugh J. Cadden, Esq., San Rafael, CA. DATE FILED: March 26, 199

06/15/98 MON 11:28 FAX NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between EarlNey, Claimant, .V, NO. 97-01511 Smith Barney, Inc., and Leonard E. Dunn, Respondents. REPRESENTATlpN OF PARTIES Claimant Earl Ney ("Claimant") was represented by Marie E. Sanders, Esq. and Mary Beth Peranteau, Esq. of Hailing & Cayo, S.C. located in Milwaukee, Wisconsin. Respondents Smith Barney

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Stewart A. Winn v. Arbitration No, 97-01506 Name of Respondents C J. Johnson, Inc. Richard A. Saso PARIES Stewart A. Winn ("Claimant") represented himself, pro se. C.J. Johnson, Inc. and Richard A. Saso ("Respondents") were represented by Jean L. Batman, Esq., Niesar & Diamond, San Francisco, California. CASE IN

12/04/01 TUB 11;a FAI NASD REGULATION STIPLXJATED AWARD NASD Regulation Inc. Office of Dispute Resolution In the Matter of the Arbitration Between David A, Hurbanis, , Claimant, v. No. 97-01504 First of America, Securities, Inc., Respondent. REPRESENTATIQ^OF PARTIES Claimant .David A. Huibanis ("Claimant") was represented by Ross E, Chapman, Esq. of Deming, Hughey, Chapman, Richardson & Bosch, P.C. located in Kalamazoo, Michigan.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Raymond F. Palicki and Cynthia L. Palicki, Claimants, --- v. No. 97-01501 Olde Discount Corporation. Eric Ruth, Tony Sword, Bruce Sellars. Daniel S. Patterson, Ralph T. Albers, Mark S. Calderone, Cirrus Logic, Inc., American Software, Inc.. Thomas L. Newberry, and Dataware Tech.. Inc., Respondents. REPRESENTATION OF PARTIES Claimants

AWARD NASD Regulation, Inc., In the Matter of Arbitration Between Craig R. Laughlin and Janice M. Laughlin Claimants, and No. 97-01492 H.J. Meyers & Co., Inc., Barren Chase Securities, Inc. and Jeffrey Friedensohn Respondents. REPRESENTATION OF PARTIES Claimants, Craig R. Laughlin and Janice M. Laughlin, ("Claimants") were represented by James A. Marlen, Esquire of Law Offices of James A. Marlen located in Dallas, Texas. Resp

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Oscar L, Berry, Jr. Susan B. Berry Drs. Berry & Kalmbach APC Defined Benefit Plan R/0 FBO Oscar L. Berry, Jr. MD UAD 1/1/84 and The Women's Clinic 401K FBO Oscar L. Berry TTEE Case No. 97-01491 Names of Respondents Warren Joseph Stassi Debra Hay wood James McCurry Joseph Biedenharn Samuel Rubin Uwe Schmidt Rudolph Miksa Richard

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Travis Barber Claimant, Vs. First Research Finance, Inc, and Alan Hugh Lawrence, Respondents. Case Number: 00-01891 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Travis Barber ("Barber"): Howard V. Tygrett, Esq., Law Offices of Howard Tygrett, Terrell, Texas. Respondent, First Research Financial, ("First Research") and Alan Hugh Lawrence

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Donald G. and Mildred S. Dyer 97-01480 Name of Respondents Tucker Anthony Incorporated William DeNardo REPRESENTATION Claimants Donald G. and Mildred S. Dyer ("Claimants") were represented by Robert J. Donaghy, Esq., Newtown, PA. Respondents Tucker Anthony, Inc. ("TA") and William DeNardo ("DeNardo") were represented b

NASD REGULATION AWARD NASD Regulation, Inc. Office or Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arlene W. Kettle 97-01478 of Respondents Merrill Lynch Pierce Fenner & Smith Inc George J, Adams, III REPRESENTATION For Claimant Arlene W. Kettle ("Claimant"): Edward Gonzalez, Esq., Washington, D.C. For Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch") and George J. Adams, III ("Adams