Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Collins, Amelia M. Collins, John D. Collins IRA, and Amelia M. Collins IRA, (Claimants) vs. PacVest Associates, Inc. f/k/a Advisors Capital Investments, Inc. and Robert K. Mann, (Respondents) Case Number: 01-04681 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, John D. Collins ("J. Collins"), Amelia M. Collins ("A. Collins"), John D. Collins IRA

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonard and Judith Huard v Charles Schwab & Co. Attorneys: For Claimanl(s): Arthur P. Fisch Esq. - New York, NY Fbr Respondents): Neil S. Baritz Esq. - West Palm Beach, FL Date Filed: 01/29/93 First Scheduled: 10/19/93 Decided: 10/21/93 Case Summary: Claimants allege Respondent acted negligently and in disregard of the Rules of the New York Stock Exchange In failing

New York Stock Exchange NYSE . the Matter of Arbitration Between Case: Herbert J. and Carol S. Thornberg vs. Smith Barney Harris Upham & Co.. Inc Attorneys: For CiaintBnt(s): Herbert J. Thornberg - Oceanside. CA For Respondent(s): Susan McLean - New York, NY Date Filed: 01/29/93 First Scheduled: 04/05/93 Case Summary; customers vs Member Firm seeking to recover costs Incurred firm caused Claimants to incur this expense as a result of its

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: George Bollag and Eleanor Bollag v Merrill Lynch Ready Assets ¥£ Attorneys: For ClaiinEml(s): George & Eleanor Bollag - Queens Village, NY For Respondents): John R. Leddy Esq. - New Yori< , NY Date Filed: 01/29/93 First Scheduled: 06/21/93 Decided: i/^7fj Case Summary: claimants, customers, allege respondent, a member firm, ctosed claimants' Ready Assets Trust account without

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shaul Sherlt v Quk:k & Reilly, Incorporated Attorneys: For Claimant(s): Shaul Sherlt - New York, NY For Respondent(s): Nicholas J. Chopey Esq. - New York, NY Date Filed: 01/27/93 First Scheduled: 07/20/93 Decided: 09/20/93 Case Summary: Claimant, a customer, alleges respondent, a member firm, purchased 5,000 shares of Nastech Pharmaceutical, Inc. without authoriz

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Allan p. Jaffe & Diane Jaffa v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Claimant(s): Allan P. Jaffee - Broomall, PA (=br Respondent(s): Christopher D. Cavuoti Esq. - New York, NY Date Filed: 01/21/93 First Sciieduled: Decided: 05/O6/93 Case Summary: Claimant, a customer, has alleged that respondent caused a loss as a result of a delay in trans

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Arthur A. Bonito & Rose Bonlto v. Dean Witter Reynolds, Inc. & James ReynoMs Attorneys: For Claimaiit(s): John A. ZucchI Esq. - Framingham, MA For Reapondent(s): Elizabeth Hill Esq. - New York, NY Date Filed: 12/24/92 Rrst Scheduled: 07/01/93 Decided: 11/17/93 Case Summary: Customer v. fiAember Firm & Registered Representative - claimants allege unauthorized and unsu

New York Stock Exchange In the Matter of Arbitration Between c ^ NYSE Case: Cowan & company vs. Christopher Benson Attorneys: For Clain»nl(8): Daniel J. Donavan - New York, NY For Reipondent(s): John D Eddy Esq. - Pittsburgh, PA Date Filed: 01/22/93 First Scheduled: 06/04/93 Decided: 09/01/93 Case Summary: claimant alleges that Respondent purchased shares on margin and then failed to pay the portion expected to be paid. Eventuall

^ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Shearson Lehman Brothers inc. v. Thomas Brazil Attorneys: For Claimant< s). Christopher P. Litterio Esq. - Boston, MA For Raspondent(s): Thomas Brazil - W. Peabody, MA Date Filed: 01/14/93 First Scheduled: 06/17/93 Deckled: 9/27/93 Case Summary: Member Finn v. Registered Representative - claimant alleges failure to pay $53,560.00 plus interest according to terms of promissory

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shaklr A. Hassan & Sandra L. Hassan v. PaineWebber Inc. Attorneys: For Oaimaitfn). Shakir A. Hassan - Glastonbury, CT For Respondents): James DeNorscia Esq. - Weehawken, NJ Date Filed: 01/06/93 First Scheduled: O6/04/93 Decided: 06/21/93 Case Summary: Customer v. Memt>er Firm - Claimants aUege tttat Respondent made unsuitat>le trades in their account, not in accordan