N.A.S.D. STIPULATED AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Alex Cardounel Case No. 95-03111 Frank Rosso, Bob Kcyser, Steve Ross, D. Blech & Company and David Blech For Claimant. .Alex Cardounel {"Cardounel"); J. Wesley Holston. Esq. of Fowler. While. Bumeit, Hurley ct ai. of Miami, Florida. For Respondents. D. Blech and Company ("D. Blech") and David Blech (''Blech"): L. Van Stillman, Esq. of Boc

STIPULATED AWARD NASD REGULATION. INC. Arbitration .No. 9.S-03869 in the matter of the Arbitration Between Name of Claimantfs) John D. Drake Drako. Inc. Drako. Inc. Money Purchase Pension Plan Name of Respondentf s) First Associated Securities Group. Inc. Carl Martellaro Kenneth Foreman REPRESKNTATION For Claimani: Lawrence A. Wengel. Esq. Claire Greve, Esq. Greve. Clifford. Wcngcl & Paras, LLP Sacramento. California

NATIONAL ASSOCIAHON OP SECURITICS OEALCRS LOUS CUNNINGHAM, Hf Claimant* 1 -va- Casa it 9S-04972 : DAVID M.ECH, fTIVC ROSS, BNENT HIPPERT. s D. BLECH ft COMPANY INCORPONATED, : and BEAR, STEARNS SECURITIES CORP. J Ratpondmti. "^ STIBLMATBD AWARD •> Claimant Louia Cunningham, 111 la awardaa the sum of Fifty Thousand «(450,000-00) Doltans flQainat Raspondtnt D. Stach & Company. Incorparatad. Thi« i award is ootared aa a raault of Ratpondsni

NASD REGULA'nON, INC. AWARD In the Matter of the Aibicration Between Name of Claimant Joseph Donohue vs. Case No. 97-02496 Nfl^ yf Respnn^^Titg A.S. Goldmen & Co. Anthony John Marchiano REPRESENTATION For Claimant Joseph Donohue ("Claimant") appeared Dan A. Dniz, Esq., a sole practitioner located in Manasquan, New Jersey. For Respondents A.S. Goldmen & Co. ("Goldmen") and Anthony John Marchiano ("Marchiano") (collectively "Respon

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Grace Van Hulsteyn 94^867 Name of Respondent Hanover, Steriing & Co.. Ltd. Roger Thomas Spann REPRESENTATION Claimant Grace Van Hulsteyn ("Claimant") appeared Pro Se. Respondent Roger Thomas Spann appeared Pro Se. All claims against Respondent Hanover, Sterling & Co., Ud. were stayed pursuant to the Order of the United States Bankruptcy Coun. CASEIN

N.A.S.D. AWARD NATIONAL ^SOCUTION OF SECURITIES DEALERS In the Matter of the Aibitiation Between Name of Claimant Harold Rossmor 94-02847 Name of Respondents Dean Winer Reynolds, Inc. Michael Anthony Mclntyre CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 22, 1994, Claimam Harold Rossmor, thiXHigh his representative, Roben M. Roth, of Appleton. WI., aUeged that Respondents Dean Witter Reyn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Cl arm ant Michael L. Bazzone, Jr. Name nf the Mnmher 01-0578: Hearing Site: Pittsburgh, PennS) Ivania Nationwide Mutual Insurance Company, Nationwide Mutual Fire Insurance Company, Nationwide General Insurance Company, Nationwide Property and Casualty Ins. Co., Nationwide Variable Life Insurance Co. n/k/a Nationwide Life & Annuity Co., Ann Cook-T

NASD Arbitration No. 94-02869 N.A.S.D. AWARD NATTONAI. ASSOriATTON QF SECTTRTTTRS ORALERS. INC. In the nutter of the Arbitration Between Name of Claimants Lori Ann O'Connor Name nf Respondents Bear Stearns & Company Ron Suber Jane Sinclair REPRRSKNTATIQN For Claimants: Jill Weissich, Esq. and Aldona Valaitis, Esq.; San Rafael, Californist For Respondents: Teresa A. Maginn, Esq.; Brobeck Phleger & Harrison; San Francisco, Ca. CASE

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between MMBfftfClMffail Lucille B. Kennedy 94-03145 iamg.9fBffgifflriffiy Nations Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealeis, Inc. on August 3, 1994, Claimant Lucille B. Kennedy, aUeged that Respondent Nations Secuiities, breached its fiduciary duty to her, omitted material facts, and sold unsuitable

94-03143 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tha Hatter of the Arbitration Between Name of ClaiiBft^^^a Dennis Phillips, Terry Phillips, and Linda Laholt Name of Respondent Fidelity Distributors Corporation RBPRBSBNTATIQN For Claimants: Dennis Phillips, pro se. For Respondent: James S. Dittmar, Esq. and Franklin C. Huntington, Esq. of Hutchins, Wheeler and Dittnuir, Boston, Massachusetts. CASE INFORMATION