AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Dennis M. Jones, Jr. Revocable Trust, Claimant, and No. 96-04961 Stifel, Nicolaus & Co., Inc. and Brett Faulk, Respondents. REPRESENTATION OF PARTIES Claimant, Dennis M. Jones, Jr. Revocable Trust ("Jones"), was represented by Christine A. Ryan of Goldberg, Katz, Sadowski & Croft, P.C., located in Saint Louis, Missouri. Respondents, Stifel, Nicolaus

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants') S. Kircher & Company D.B.A. Capitol Bay Securities v. Arbitration No. 96-04955 Name of Respondent^ William Husa j REPRESENTATION For Claimant: Robert E. Gyemant, Esq., Knapp Petersen & Clarke, Glendale, California ; ;' For Respondent: William A. Husa, Gold River, California • ; ^ orsk;s CASE INFORMATION State

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert H. Wink, Claimant, v. No. 96-04952 Sterling Foster & Co., Inc., Noel Belmonte, Timothy J. Matthews, Robert Pratt, Steven K. Gourlay, Jr. Gary Licostie, Adam R. Lieberman, Craig Kellerman, Frank J. Monroig, Andrew E. Reegen, Brian P. Kearney, Vincent P. Carrella, Vincent G. Vaccaro, Michael H. Conn, Dian

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Frank M. and Theodora Pellicane Theodora Pellicane 96-04951 Name of Respondents Christopher McNamara Timothy Matthews John Massaro Sterling Foster & Co., Inc. REPRESENTATION For Claimant's Frank and Theodora Pellicane ("Claimants") appeared William J. Cunningham, III, Esq., of the law firm Meyer, Suozzi, English & Klein, P.C., located in Mineola, New Yor

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between James J Pellicciotti and Sandra M. Pellicciotti, Claimants, vs. Barron Chase Securities, Inc. and Richard William Mailly, Jr., Respondents And No. 96-04949 Barron Chase Securities, Inc., Cross-Claimant, vs, Kurt Novey and I.S.N., Inc., Third Party Respondents. REPRESENTATION OF PARTIES James J. Pellicciotti and Sandra

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant William H. Stern 96-04948 Name of Respondents Bear Steams & Co., Inc. Austin Moscowitz , Coleman & Co., Inc. REPRESENTATION For Claimant William H. Stern ("Claimant") appeared Rand J. Levin, Esq. of the law firm of Robinson Silver inan Pearce, etal. located in New York, NY. For Respondent Austin Moscowitz ("Moscowitt") appeared Kristin Angelina, of Stua

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04946 Estate of Harry R. Zimmer, Sr., claimant v. Fifth Third Securities, Inc., Mark G. Srofe, Peter G. Bielan and Scott Degeberg, respondents. ATTORNEYS: Claimant appeared Pro Se through the executrix Samantha A. Howell - Cincinnati, OH. For Respondents Fifth Third Securities, Inc., Peter G. Bielan and Scott Degeberg appeared Fred L. Darlington, Esq., - Cinci

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Ottigen, Ltd. Claimant, and No. 96-04945 Dean Witter Reynolds, Inc. Respondent. REPRESENTATION OF PARTIES ^ Phillips arid Murray located in Dallas, Texas ^- , f M^VHTW^'^rr Respondent, Dean Witter Reynolds,Inc., ("Dean Witter") was represented by JanetEpsteiiftEsciuatepii ^~- in-house counsel for trie Respondents. CASE INFORMATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Albert E. Zacharias and Delbert Cunningham co-trustees of Albert E. Zacharias Living Trust 96-04944 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with National Association of Securities Dealers Regulation, Inc. on November 6, 1996 Claimants Albert E. Zacharias and Delbert Cu

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Terry Kay McCurdy, Trustee of the Scott M McCurdy Family Trust, Claimant, and Case Number: 96-04943 Leonard VandenBerg, Steven M. VandenBerg, VandenBerg & Associates, Inc. and Mutual Service Corporation, Respondents. Claimant Terry Kay McCurdy, Trustee of the Scott M. McCurdy Family Trust ("Claimant") was represented by Shawn Michael Got