Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher Davis, (Claimant) vs. C.B. Hill & Associates, Inc., (Respondent) Case Number: 01-05742 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Christopher Davis, hereinafter referred to as "Claimant", appeared pro se, Respondent, C.B. Hill & Associates, Inc., hereinafter referred to as "Respondent": Wise A. Skillman, III, President, C.B. Hill & Associates, I

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Namenfriaimflnt Jud Zellmer and 94-02745 Name of Respondent Bear Steams & Company Larry W. Nelson REPRESENTATION OF PARTIES Jud Zellmer ("Clainiant") was represented by Steve A. Buchwalter, Esq., Investors Arbitration Services, Inc., Woodland Hills, CA. Bear Steams & Company, Inc. (**Reapondent Bear Stearns") was represented by Stephen T.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Citidy F. Goldlng and Daniel P. Goldlng and 94-02744 Reynolds Kendxick Stratton, Inc., Billy Kim Bolechala, James Romano and David Michael Laux REPRESENTATION OF PARTIES Claimants, Cindy F. Golding and Daniel P. Goldlng appeared pro se. Respondents, Reynolds Kendrick Stratton, Inc. and Kim Bolechala were represented by Scott Monson, E

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of che Arbitration Between t^amffgf Claimant David L. Herfel 94-02738 MainecifP«noiid«tf« Lew Leiberbaum A Co. Inc. Bany Cassese CAasmiMAKY In a claim fded with the Natioail Associatk» of Securities Deikn, Inc., on July 14, 1994, Claimant. David L. Heifel, who appeared Fm Se, allefed tint Rwponikrti Lew Ueberima ft Co., Inc., ("IL") and Btncy CuBeae ("Casieie') made u

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathleen M. and Richard G. Smith 94-02737 Invest Financial Corp. Warren Five Cents Savings Bank CASE SUMMARY In a claim filed with the National Association of Securities, Inc. on July 14, 1994, CUumants Kathleen M. and Richard G. Smith, who appeared pro se alleged. Claimants alleged that Respondents Invest Financial Corp. ("Invest") and Warren Five

NASD REGULATION, INC. AWARD In the Matter of the Aibitration Between N^me of Claimant Paine Webber, Inc. 94-02736 National Financial Services Corp Paul J. Schupf Collins Group Trust ID For Claimant Paine Webber, Inc. ("Chiimant'' or "PW") appeared William R. Golden, Esq., of Kellcy Drye & Warren located in New York, New York. For Respondem National Financial Services Corp. ("NFSC") appeared Michael G. Shannon, Esq., of Phillips, Lytle, Hitch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Aibitration Between Name of Claimam Frank L. Perro NameofRegnondents M. Rimson Sc Co. Christian Girodet 94-02735 MJMSEJ^ATION Claimant Frank L. Peno doppeaseA pro se. Respondent Christian Girodet did not appear at the hearing. For Respondent M. Rimson & Co., Mosbe Rimson of M. Rimson & Co., Inc. CASE INFORMATION Statemem of Claim filed: July 11, 1994.

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLTTTION In the matter ofthe Arbitration Between Name of Claimant Nicolas A. Horowitz V. Arbitration No. 94-02733 Name of Respondents Xcel Securities, Inc., William Barton Financial, Inc., Gary Barton, Gregory J. Hill, M & H Holdings, Inc., George T. Hellen, Cunis Piatt, Steven Muth, Strategic Resource Management, Inc., Burnett, Grey & Company, Inc., William A. Moler, and Catherine L. Moler

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between NTamf-nf Claimant Arnold M. Mass and Audrey G. Mass and 94-02732 Name of Respondent Kemper Securities, Inc. RFPRESRNTATinW OF PARTIF-S Arnold M. Mass and Audrey G. Mass ("Claimant") were represented by Ame R. Rode. Esq.. Chicago, Illinois. Kemper Securities, Inc. ("Respondent") was represented by A. Brad Busschcr. Esq., Kemper Securities,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Phyllis A. Laido 94-02731 Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant: Mu:hael Laido, Chumant's husband. For Re^ndent: Anne Marie GiUette-Dever of FMR Corporation, Boston, Massachusetts. Sutement of Claim filed: July 13, 1994. Claimant's Submission Agreement signed on: July 11, 1994. Statement of Answer filed by Respondent on