N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Fusco, Jr. 96-05251 Names of Respondent^ William Blair & Company, LLC, and, Kelly T. Goalby REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, Florida. For Respondents: Lisa Aidlin, Esq. of the law firm of Sorinenschein Nath & Rosenthal, Chicago, Illinois. CASE INFO

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Asha Bharath Krishnasarny and Ajit Bharath Krishnasarny v. Name of Respondent H. J. Meyers & Co., Inc. Arbitration No. 96-05247 For Claimantsr For Respondent: Statement of Claim filed: REPRESENTATION Robert-W-.-Haugan* Esq. Law Offices of David P. Christiansen Newport Beach, California Robert A.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between J.B. Unlimited, Claimant, and No. 96-05245 Prudential Securities, Inc., Michael Digan, Kingston Securities Corp., and Renee Kwait Rettig, Respondents. REPRESENTATION OF PARTIES Claimant, J.B. Unlimited, was represented by A. Frederick Schaffer, Esquire, located in ^Phoenix,, Respondents Prudential Securities, Incorporated and Michael Digan were repr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Oscar Zatz and Pearl Zatz Name of the Respondents Prudential Securities, Inc., and Barry S. Fisch Cas^Mimher: 01-02237 Hearing Site- Philadelphia, Pennsylvania RF.PRKSFNTATTON OF PARTTPS Claimants Oscar Zatz and Pearl Zatz, hereinafter collectively referred to as "Claimants", were represented by Douglas R. Lally, Esq., Attorney at Law, Jenkintow

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Leroy C. Lucas, Claimant, v. No. 96-05243 First of Michigan Corporation, Respondent. REPRESENTATION OF PARTIES Claimant Leroy C. Lucas ("Claimant") was represented by Bruce M. Bieneman, Esq. of Cholette, Perkins & Buchanan located in Grand Rapids, Michigan. Respondent First of Michigan Corporation ("Respondent") was represented by A. Michael

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Gerald Schauer and June Schauer v. Name of Respondents Doug Ashman, Pacific Coast Financial Securities, Inc. Kirt Wayne Ashman, Don Tullio Morandini, and Thomas Andrew Gans Arbitration No. 96-05239 REPRESENTATION For Claimants: David Liebrader, Esq. Law Office of David Liebrader Irvine, Californ

N.A.S.D. REGULATION INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Maaer of the Arbitration Between Name of Claiman^ Andrew Reiniger 96-05236 Name of Respondents Olde Discount Corporation Marc A. Sperling Milton E. Harfcrader, m For Claimant Andrew Reiniger ("Claimant") appeared Phillip G. Steck, Esq., of the law firm Cooper. Erving, Savage, Nolan & Heller located in Albany, New York. -'*?., >^ ;^ 4 ; For Respondents Olde Discoun

NASD Regulation, Inc., Award In the Matter of Arbitration Between Bruce D. Roth, Claimant, and No. 96-05233 Sunpoint Securities, Inc., and Spencer Griffith, Respondents. REPRESENTATION OF PARTIES Claimant, Bruce D. Roth ("Roth") was represented by Kenneth S. Saks, Esquire of Oliva & Saks, L.L.P. located in San Antonio, Texas. Respondent, Sunpoint Securities, Inc. ("Sunpoint") was represented by Janie L. Frank, Esquire of Shannon, Gracey,

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gary E. Sommer NASD Case No. 96-05227 Name of Respondents Joseph Roberts & Co., Inc. Anthony Caliendo Robert B. DiMarco, Jr. Joseph F. DeSanto REPRESENTATION Claimant Gary E. Sommer ("Claimant") was represented by Howard M. Rosenfield, Attorney at Law, Avon, CT Respondent Joseph Roberts & Co., Inc. ("Joseph Roberts") did not appear. Resp

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Andrew Kowalczyk 96-05226 Descap Securities, Inc. Michael C. Cammarota Robert M. Fine John T. Macklin Robert Tirschwell REPRESENTATION For Claimant Andrew Kowalczyk ("Claimant") appeared Richard A. Roth, Esq., from the firm of Littman Krooks Roth & Ball, P.C., with offices located in New York, New York. For Respondents Descap Securities, Inc