NASD REGULATION. INC- In the matter of the Arbitration Between Name of Claimant: f s) Thomas S. Olmstead Arbitration No. 96-04092 Name of Reapor^ent{s) Mutual Securities, Inc. Cowles, Sabol & Co., Inc. Kendal1 Cameron REPRESEHTATIQH For Claimant: Randy Barnard, Esq. , O'Shea Barnard Martin P.S. , Bellevue , Washington For Respondents Mutual Securities, Inc. and Cowles, Sabol & Co., Inc.: Carl J. Carlson, Esq., Seattle, Washington

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 96-04090 Claimant Stephen Gehrs, MD. vs. Respondent Smith Barney, Inc. OF PARTIES Stephen Gehrs, MD., ("Claimant") was represented by Robert A. Uhl, Esq., Aidikoff & Uhl, Beverly Hills, California Smith Barney, Inc., ("Respondent") was represented by Christopher B. O'Malley, Esq., Smith Barney, Inc., New Y

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mattick Family Partnership, Ltd., Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and J. Judd Peterson, Respondents Case Number: 01-02128 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Mattick Family Partnership, Ltd., hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A., Orlando, Florida. For Merril

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lillian Lutvack 96-02707 Name of Respondent Kirlin Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1996, claimant Lillian Lutvack ("claimant"), who appeared Pro Se, alleged that respondent Kirlin Securities, Inc. ("respondent") through its representative Bill

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Claimant/Counterclaim Respondent MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. NASD Regulation, Inc. v. No. 96-02703 Respondent/Counterclaimant JENNIFER M. MITCHELL REPRESENTATION OF PARTIES Claimant/Counterclaim Respondent, McLaughlin Piven Vogel Securities, Inc. was represented by Thomas Loder, Esquire and Joseph Dougherty, Esquire, of Rubin

N.A.S.D. REGULATION. INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, CSC. In the Matter of the Arbitration Between Name,of Claimants William T. and Grace R. Finlayson 96-02700 Name of Respondents Invest Financial Corp. Katrina Bowers REPRESENTATION utive For claimants William T. and Grace R. Finlayson ("claimants") appeared their represemativ Nicholas Bakatsas, Esq. a sole practitioner located in Marietta, Georgia. - ^

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name L.H- Carpenter & Caiol C. Hipp 96-02698 Name of Respondents Edward D. Jones & Co. Christopher Palladino REPRESENTATION Claimants L.H, Carpenter ("Carpenter") and Carol C, Hipp ("Hipp") were represented by William L. Mills, III, Esq., The Mills Law Firm, Concord, NC, Respondents Edward D. Jones & Co. ("Jones

BEFORE NASD REGULATION, INC. In the Matter of the Arbitration Between GERALD TURNER and AUDREY TURNER, Claimants, and No. 96-2696 MICHAEL SCLAFANI and GREENWAY CAPITAL CORPORATION, Respondents. STIPULATED AWARD Representation Claimants appeared pro se. Respondent Michael Sclafani was represented by Daniel J. Dugan, Esq. Respondent Greenway Capital Corporation was not represented, did not participate and is not a party to this Stipula

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Puma Del Mar International, Ltd. Case No. and - 9 6 - 0 2 6 9 1 Name of Respondent ij^Schonfeld Securities, Inc. Vista Securities, Inc. Vincent Landano Michael Walters Robert Yadegar REPRESENTATION QF PARTIES •Puma-Del Mar International, Ltd. ("Claimant") was represented by Eric J. Sus&man; Esq.-located in

F if AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jerry Gronsman, Claimant, and No. 96-02689 Centennial Securities Co., Inc., and William C. Alsover, Jr. Respondents. ~ REPRESENTATION OF PARTIES Claimant Jerry Gronsman ("Claimant") was represented by Susan Klooz, Esq. and Mark H. Venvgs, Esq. of Pulnkett & Cooney, P.C. located in Grand Rapids, Michigan. Respondents Centennial S