NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant •• > * Stephen H. Karelitz 96-04477 Name of Respondent Smith Barney Inc. REPRESENTATION - ->»^^""= i For claimant Stephen H. Karelitz ("claimant") appeared Scott J. Link, Esq. of the law offices - - ^^L^jroan^Liiik &Sartory,P.A. located in West Palm Beach, Florida. " ^" ll " •> por respondent Smith Bamey^ Inc. ("respondent") appeared Jeffrey L. Friedm

NASD REGULATION, INC. STIPULATED AWARD In the Matter of the Arbitration Between Name of Claimant Joseph Franklin 96-04474 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc David E. Kaplan Gerald J. Litwin REPRESENTATION For claimant Joseph Franklin ("claimant") appeared John P. Cione, Esq., with law offices in Solana Beach, California. For respondents Merrill Lynch Pierce Fenner & Smith Inc. ("Merrill Lynch"), David E. Kaplan

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald Steve Blum 96-04466 Name of Respondents A.S. Goldmen & Company, Inc. Thomas Mahan CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on October 7, 19%, claimant Ronald Blum ("claimant"), who appeared Pro Se, alleged that respondents A.S. Goldman & Company, Inc. ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William F. Leahy Name of Respondents D.H. Blair & Company Alfred S. Palagonia Gregory Bellotti 96-04464 CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on October 7, 1996, claimant William F. Leahy ("claimant") through his representative and son Michael J . Leahy alleged tha

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frankie W. McQuiston and Licia D. McQuiston, Claimant v. Waddell & Reed, Inc., Virginia Slade and Kelly Lee Carlson Case Number: 01-02159 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Frankie W. McQuiston and Licia D. McQuiston, hereinafter referred to as "Claimant": Marc J. Ross, Esq. and Richard J. Babnick, Jr., Sichenzia, Ross, Friedman & Ference, LL

NASD REGULATION AWARD In the Matter of the A rbitration Between Name of Claimant Fidelity Brokerage Services, Inc. 96-04461 Name of Respondent Donald J. REPRESENTATION For Fidelity Brokerage Services Inc. ("claimant") appeared Henry L. Grossman, Esq., of Stroock & Stroock & Lavan, LLP located in Boston, Massachusetts. Donald J. Boyko ("respondent") appeared pro se. CASE INFORMATION Statement of Claim was filed on: October 4,1996. Cla

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Peter M. and Donna L. Pembrooke 96-04457 Name of Respondents Norfolk Securities Corp. Gregory Hall REPRESENTATION Claimants Peter M. and Donna L. Pembrooke ("claimants") appeared Pro Se. Respondent Norfolk Securities, Corp. ("Norfolk") did not appear at the hearing. The-claims against respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Wheat, First Securities, Inc. 96-04454 Name of Respondent James R. Lane REPRESENTATION Claimant Wheat, First Securities, Inc. ("Claimant") was represented by Gabriel Holdsman, Esq., Conrad O'Brien, Philadelphia, PA. Respondent James R. Lane ("Respondent") was represented by Mitchell N. Cobert, Esq.,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Larry Murk 96-04447 Names of Respondents State Street Capital Markets Corp. John Doukas Bob Peters REPRESENTATION Claimant Larry Murk ("Claimant") appeared pro se. For Respondents State Street Capital Markets Corp. ("State Street") and John Doukas ("Doukas") appeared John Bersin, Esq. of the firm Gusrae Kaplan & Bruno, located in New York, New York.

AWARD the Matter of the Arbitration Between i \ Name of Claimant Thaddeus B. Hickman, Jr. Profit Sharing Plan and Case Number 96-04441 Names of Respondents D.E. Frey & Company Inc. and James Glaza Jn REPRESENTATION OF PARTIES ***! ^ « - - - - - — _ A***"-^ ? Hickman, ^ ProfiLSharing Plan was represented-pro^e^intiMieiheaia^^l ^ ? date. At the hearing, the Claimant was represented by John Trueheart, Esquire ofHoustbn, TX.c ™ ^