Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward N. Schwartz and Jeanine Schwartz, (Claimants) v. JW Charles Securities, Inc., a/k/a JW Genesis Securities, Inc., n/k/a First Union Securities Financial Network, Inc., Andrew Vuksic, James Caterina, Thomas Holly, Eric Lyon and Mike Roberts, (Respondents) Case Number: 01-02931 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Edward N. Schwartz (E

N.A.S.D. AWARD 7 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants First Albany Corporation 94-00282 Name of Respondents Obel H. Wells IMflPRFSENTATION For Claimant: Jack D. Harvey, Esq. of Harvey and Harvey, Harvey & Mumford, Albany, New York. For Respondent: Obel H. Wells represented himself. CASE INFORMATION Statement of Claim filed: December 28, 1993. Claimant's Submissi

NASD Case No. 94-00280 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Richard P. Zizan Name of Resoondent(s) Hibbard Brown & Co., Inc. Chris Vukich REPRESENTATION For Claimant Richard P. Zizan ("Zizan") appeared Bruce E. Baldinger, Esq., of Baldinger & Levine located in Somerville, New Jersey. Respondent Chris Vukich ("Vukich") appeared pro se. There is a bank

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald R. and Mavis M. Scott 94-00278 Name of Respondents Kennedy, Cabot & Company Gruntal & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1994, Claimants Ronald R. and Mavis M. Scott, who appeared Pro Se, alleged that they purchased 3000 shares of Pantheon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincent S. Marceno & Mary J. Marceno Case# vs. 94-00277 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Ceciie R. Boivin REPRESENTATION For Claimants, Vincent S. Marceno and Mary J. Marceno ("Claimants"), Jay N. Michelman, Esq., from Michelman Law Offices, located in Springfield, Massachusetts. For Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS « In the Matter of the Arbitration Between Name of Claimant 10 1995 FL ARBITRATION Robert Lewis Reinecker Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Martin Herbert Feldman Case No. 94-00215 Claimant, Robert Lewis Reinecker ("Reinecker"): pro se. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and Martin H. Feldman ("Feldman"

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant R. Allen Fox Ltd. and Robert A. Fox and 94-00210 Name of Respondent Stratton Oakmont, Inc. Robert Koch REPRESENTATION OF PARTIES R. Allen Fox Ltd. and Robert A. Fox ("Claimants") were represented by Arthur M. Holtzman, Esq., Tammye T. Raster, Esq. and Steven Austermiller, Esq., Pedersen & Houpt, Chicago, Illinois. Stratto

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-00206 Name of Respondent Neal Kohlhaas For Claimant Prudential Securities, Inc. ("Prudential") appeared William Rogers, Esq. of the law firm Mirick, O'Connell, Demallie & Lougee, Worcester, MA. For Respondent Neal Kohlhaas ("Kohlhaas") appeared John P. Clone, Esq., Solana Beach, CA. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Bennett Mostel 94-00205 Name of Respondent Emanuel and Company For Claimant Bennett Mostel ("Claimant") appeared Paul Chernis, Esq. of the law firm of Silvennan, Collura & Chernis, P.C. located in New York, New York. Respondent Emanuel and Company ("Respondent") did not appear at the hearing. CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Hyde Summer 94-00204 Name of Respondents A. Baker Duncan; Goodhue W. Smith, ffl; Edward B. Patton; Christopher T. Moser, John D. Alexander, Jr.; J. Lance Lahourcade; Duncan Smith Co.; Duncan Smith Securities Inc. REPRESENTATION For Claimant: Elizabeth Hyde Summer ("Summer") was represented by Malin