NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Carl Baylis 96-04364 Name of Respondents John P. Sciascia John Doukas REPRESENTATION Claimant Carl Baylis ("claimant") appeared pro se. For respondents John P. Sciascia ("Sciascia") and John Doukas ("Doukas") appeared John Bersin, Esq. of the law firm of Gusrae, Kaplan & Bruno located in New York, New York. CASE INFORMATION Statement of Claim was filed on

AWARD NASD REGULATION. 1NC» OFFICE OF DISPUE RESOLUTION In the matter of the Arbitration Between Name James D, Reiter, IRA James D. Reiter TTEE/Reiter Family Trust v. Arbitration No. 96-04361 Nam? of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc, Kirk Woodley REPRESENTATION Of PARJffiS James D. Reiter, IRA and James D. Reiter TTEE/Reiter Family Trust ("Claimant") were represented by Eileen L. McGeever, Esq., Rushall & Mc

N. X.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04359 Helena Gunnarsson, claimant v. Johnston, Lemon and Co., Susanne Nolan and James H. Lemon, respondents. ATTORNEYS: Claimant appeared pro se - Washington, DC. For Respondents appeared Donald E. Clem, Esq. Washington, DC DATE FILED: 9/30/96 CASE SUMMARY- Claimant alleged misrepresentation, omissions. unsuitabilUy and failure to supervise m the sale

N.A.S.D. REGULATION AWARD NATIONAL ASSQCTATTON OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04356 Elizabeth B. Lewis, claimant v. Richard B. Bellinfante and Securities America, Inc., respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se - Tucson, AZ. Respondent Richard Bellinfante appeared Pro Se - Tucson, AZ. For respondent Securities America, Inc. David O. Spinar, Esq. in-house counsel - Omaha, NE. DATE FILED: September 30, 1996

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between ' Name of Claimant Robert Wilder 96-04352 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 30, 1996, claimant Robert Wilder ("claimant"), who appeared Pro Se, alleged that respondent Merrill Lynch,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Fn the Matter of the Arbitration Between Name of Claimant Harlan P. Wallingford 96-04351 Name of Respondents Investors Associates, Inc John J. Nalick Edward Powers CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on September 30. 1996. claimant Harlan Wallingford ("Wallingford"), who appeared Pro Se, alleged that respondents Investors

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAJ RftS !n the Matter of the Arbitration Between Mechie Nebeiizalil 96-0434? Nationwide Securities Corporation CASC S In a case filed with tite National A&socUtinn «f Securities Dealers Regulation, Inc. on September 30, 1996, clttimaAt Mechie NebenzahJ ("claimant") wlw appeared l>ro Se. alleged that respondent Nationwide Securities Corporation ("Nationwide 11 ) failed fo credit her rvoumnt.

AWARD NASD REGULATION INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Carolyn Lassise, Claimant v. Arbitration No. 96-04346 Cameron Evans, John Doe, Titan/Value Equities Group, Franklin/Templeton Distributors, Inc., Respondents Titan/Value Equities Group, Inc., Cross-Claimant, v. Cameron Evans; Franklin/Templeton Distributors, Inc.; Oppenheimer Funds Distributors, Inc., Cross-Respondents Franklin/Templ

N.A.S.-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne E. Godshaw x 96-04345 Name of Respondent Robert L. Tucker CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 30, 1996, claimant Anne Godshaw ("claimant") who appeared Pro Se, alleged that respondent Robert L. Tucker ("Tucker") called her and suggested that sh

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Ahlstedt, Jeffrey D. Franklin, and David Unsworth, Claimants v. Broadmark Capital Corporation, Stephen J. DeGroat, and Joseph L. Schocken, Respondents Case Number: 01-02144 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Anthony M. Englese, Esq. Law Offices of Anthony M. Englese San Francisco, California For Respondents: Gerald