N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Jose & Linda Marquez 96-05132 Name of Respondents Stratton Oakmont, Inc. Stephen Buxton REPRESENTATION OF PARTIES For Claimant: Jose Marquez represented himself. For Respondents: He did not make an appearance. CASE INFORMATION Claimants' Statement of Claim was filed on or about November 14, 1996.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-05130 Olde Discount Corporation, claimant, vs. Gary Cucuzza, respondents. ATTORNEYS: For Claimant Robert S. Anderson, Esq., in-house counsel - Detroit, MI. For Respondents Respondent did not respond to the Statement of Claim DATE FILED: 11/18/96 CASE SUMMARY: Claimant alleged that per Federal Regulation it was forced to sell 2,000 shares of Netmana

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant LeEtta Engblom v. Name of Respondents Margaret Boland, Ronald Berg, and Titan/Value Equities Group, Inc. Arbitration No. 96-05129 REPRESENTATION For Claimant: For Respondents Margaret Boland, Ronald Berg, and Titan/Value Equities Group: Zev S. Brooks, Esq. Law Offices of Zev S. Brooks Fountain Va

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jennifer M. Schapiro 96-05127 Name of Respondents Paul W. Haney Kedem Capital Corp. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on November 18, 1996, claimant Jennifer Schapiro ("claimant") through her representative and counsel Perry Reich, Esq., of the law f

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alexander Chetcuti, Kenneth Lerg, Michael Chetcuti, et. al., Claimants vs. Gary Callas, G.R. Stuart & Company, Inc., et. al, Respondents. Case Number: 96-5126 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Alexander Chetcuti, Kenneth Lerg, Michael Chetcuti, and Evelyn Chetcuti Living Trust, hereinafter collectively referred to as "Claimants)": Charles E. Murphy,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Treit, Ltd. and W. James White, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and William Durham, (Respondents) Case Number: 01-02232 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Treit, Ltd. ("Treit") and W. James White ("White"), hereinafter collectively referred to as "Claimants": Edward G. Bailey, Esq. and Jeff Sherman, Esq., Bailey & Sherma

f NATIONAL ASSOCIATION OF SECURITIES DEALERS DONALD AND MARILYN SLITER, Claimants, v. NO. 00-00813 FIRST MIDWEST SECURITIES, INC,, a member of the NASD, INC., and TIMOTHY B, WAITERS, an individual, Respondents. STIPULATED AWARD REPRESENTATION Claimants were represented by Robin Wolkoff of Patzik Frank & Samotny, located in Chicago, Illinois. Respondents were represented by David Baugh of the law firm of Kovitz Shifrin & Waitz

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jan and Patricia VanVoorhis, Claimants, v. No. 96-05123 Bentley-Lawrence Securities, Inc., and Larry VanBuskirk, Respondents. REPRESENTATION OF PARTIES Claimants Jan and Patricia VanVoorhis ("Claimants") were represented by Gary M. Saretsky, Esq. and Karen A. Gould, Esq. of Hertz, Schram & Saretsky, P.C. located in Bloomfield Hills, Michigan

V NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Doris S. Dana 96-05118 Names of Respondents Smith Barney, Inc. and William Leach REPRESENTATION OF PARTIES For Claimant: Julie E. Fox of the law firm of Ackerman Link & Sartory, West Palm Beach, FL. For Respondents Smith Barney, Inc. ("SB") and William Leach ("Leach"): Christopher B. O'Malley, Esq. of Smith Barney, Inc., New Y

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant George Frangias 96-05117 Name of Respondents PaineWebber, Inc. Gk"Ji F. O'Neill REPRESENTATION For claimant George Frangias ("claimant") appeared Richard W. Vallario, Esq., with-law*offices in Nutley, New Jersey. :".u!cy, Nc, 1 . For respondents PaineWebber, Inc. ("PW") and Glenn F. O'Neill (O'NeiU) (collectively "respondents") appeared Lisa Catalano