AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Barry Brenner and Madeline McCarthy, as Successor Trustees for Mary Brenner Trustee UAD 5/7/84 FBO Maiy Brenner Trust, and Mary Brenner Trustee UAD 5/7/84 FBO Joel Brenner Trust 96-04508 Names of Respondents Dean Witter Reynolds, Inc. John G. Forrester, Jr. REPRESENTATION For Claimants: Scott L. Warftnan, Esq. of Nortman, Bloom & Warftnan, P.A

NASD REGULATION, INC. MODIFIED AWARD In the Matter of the Arbitration Between Name of Claimant Bill Poznik vs. Case No. 96-04506 Name of Respondent Daniel M. Porush Stacey Yonkus Steven P. Sanders Stratton Oakmont, Inc. REPRESENTATION For Claimant Bill Poznik ("Claimant") appeared John R. Blake, Esq. of the law offices Bowditch & Dewey, located in Worcester, Massachusetts. For Respondent Daniel M. Porush ("Porush") appeared M

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William T. McGann 96-04505 Name of Respondents VTR Capital, Inc. L.C. Wegard & Company, Inc. Marc A. Varricchione CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 10, 1996, claimant William McGann ("claimant"), who appeared Pro Se, alleged that respondents V

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Ninnhpr- 01-02160 HyeK.Park Name of thp Respondents Hearing Site- Washington, D.C. Prudential Securities, Inc. and James W. Puree, Jr. RKPRFSFNTATTON OF PARTIES Claimant Hye K. Park, hereinafter referred to as "Claimant", was represented by Ford C. Ladd, Esq., Law Offices of Ford C. Ladd, Alexandria, Virginia. Respondents Prudential Securities,

AWMtt) MX3D aggTJTJlTIQM. IMC.. OFFICE OF PISPPTB RESOLUTION In the matter of the Arbitration Between ' Name of Claimant: fa) Susie Tsang Aaron Tsang Arbitration No. 96-04501 Kama of Respondent(a) Smith Barney Shearson Inc. REPRESENTATION For Claimants: Susie Tsang and Aaron Tsang, Duarte, California 1 -' For Respondent: Dena L. Murphy/ Esq., Keesal, Young & Logan, Long Beach, Cali fornia CASE IHFQRMATTQH Statement of

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Susie Tsang Aaron Tsang v. Arbitration No. 96-04500 Name of Respondent^ Quick and Reilly, Inc. REPRESENTATION OF PARTIES For Claimant: Susie^Tsang, Sa For Respondent: Dean Urbanski, Quick and Reilly, Inc., Los Angeles, California CASE INFORMATION Statement of Claim filed: October 10, 1996 Claimants' Submission

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Geoffrey Sher and Charlene Sher, Individually and as Trustees of the Sher Living Trust Dated 10/30/80, v. Arbitration No. 96-04492 Name of Respondents') Donaldson, Lufkin & Jenrette Securities Corp. Seth Radow REPRESENTATION For Claimants: David W. Studley, Esq., San Francisco, California For Respondents: Susan L.

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant John F. Smithgall 96-04487 Names of Respondents Investors Associates, Inc Michael W. Hawkins REPRESENTATION For Claimant John F. Smithgal! ("claimant") appeared David L. Turner, Esq. of the law offices Schulten Ward & Turner located in Atlanta, Georgia. For Respondent Investors Associates, Inc. ("lAI"), appeared M. David Sayid, Esq. of the law offices Sayid &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alice P. Whaley 96-04481 Name of Respondent^ Cohig &. Associates, Inc. Doyle Scott Elliott REPRESENTATION For Claimant: Elihu H. Bennan, Esq. of the law firm of Berman & Hobgood, P. A., Clearwater, Florida. For Respondent Cohig & Associates, Inc. ("Cohig"): Russell K. Bean, Esq., General Counse1,-t6hig. " -- - , The Respond

NASD REGULATION, INC. AWARD NASD REGULATION, INC., Office of Dispute Resolution Matt Kasap, ) Claimant ) v. ) Case No. 96-04478 Folger Nolan Fleming ) Douglas Inc. and ) Joseph Anderson, ) Respondents ) REPRESENTATION _Claimant Matt Kasap ("Claimant") was represented by'John P. Connolly, Esq., "Law^airnant >fe K.--H- Offices of John P. Connolly, Alexandria, VA. Oiuces of John P. Respondents Folger Nolan Fleming Douglas Inc. ("Folger Nola