I N-A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Charles R. and Catherine A. Rhoades 96-02484 Names of Respondents PaineWebber, Inc. Donald J. Scott REPRESENTATION For Claimants Charles R. and Catherine A. Rhoades ("the Rhoades"): Lawrence D. Martin, Esq., Naples, Florida. For Respondents PaineWebber, Inc. ("P.W.") and Donald J. Scott ("Scott"): Jeffrey A. Nor

4 \ N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Vanni Enterprises, Ltd. 96-02478 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Joseph R. Chiarantona REPRESENTATION Claimant Vanni Enterprises, Ltd. ("Claimant") was represented by Albert P. Parker, Esq., Schnader, Harrison, Segal & Lewis, Philadelphia, PA. Respondents

NASD REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant^ Robert & Kathryn Jackson Robert Jackson & Kathryn Jackson Living Trust 96-02474 Name of Respondentfs^ Sunpoint Securities, Inc. Gail Ann Griseuk-Gentry T.E.I. Strategies, Inc. REPRESENTATION For Claimants Robert and Kathryn Jackson ("the Jacksons") and the Robert Jackson and Kathryn Jackson Living Trust ("the Trust"): Jeff

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jack Pulliam and Sandra Pulliam, Claimants, v. Case Number 96-02469 Olde Discount Corporation and Dale Essenmacher, Respondents. REPRESENTATION OF PARTIES Claimants Jack and Sandra Pulliam ("Claimants") were represented by John F. Chambers, Esq. of Chambers Sterner located in Detroit, Michigan^ Respondents Olde Discount Corporation ("Old

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant David R. Laur v. ' 'Arbitration No. , 96-02464 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Davis REPRESENTATION For Claimant: J. Leo Federman Investors Rights Association, Inc. Santa Barbara, California For Respondents: Joycelyn E. McGeachy, Esq. Merrill, Lynch Litigation Department

•06/15/98 MON 11:30 FAX NASD REGULATION Si 010 NASD Regulation, Inc. Award In the Matter of Arbitration Between Tommy Thompson, Individually and as Executor of the Estate of Aileen Thompson, Claimants, and Meyers Pollock Robbins, Inc., D.H. Blair & Company, HJ. Meyers & Company, Inc., Stephen Carrella, Michael Phillips, Ted Vaughart, Thomas Meehan, Michael Mullins, Schneider Securities, Inc., and International Ass

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Archie A. Van Elslander, and Mary Ann Van Elslander, Claimants v. Case Number 96-02455 John Winans, 4Smith Barney, Inc., and Dean Witter Reynolds, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Archie A. Van Elslander and Mary Ann Van Elslander ("Claimants") were represented by Marjorie L. Kolin, Esq. of Keywell and Rosenfeld loc

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant S. Robert Kovac and 96-02454 Name of Respondents A. G. Edwards & Sons, Inc., Pauli & Company, and Schneider Securities, Inc. and Third Party Claimants A. G. Edwards & Sons, Inc., Pauli & Company, and Schneider Securities, Inc. and Third Party Respondent Stephen Kovac REPRESENTATION OF PARTIES S. Robert Kovac ("Claimant") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert K. Smith, (Claimant) vs. Bear Steams Securities Corp. and Ronald Heineman, (Respondents) Case Number: 96-02452 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert K. Smith, hereinafter referred to as "Claimant", appeared pro se, Respondent, Bear Stearns Securities Corp. ("BSSC'): Arthur D. Felsenfeld, Esq., Andrews & Kurth L.L.P., New York, NY. Pre

N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Community Church of Barrington 96-02448 Name of Respondents John Dawson; John Dawson & Associates REPRESENTATION For Claimant: Community Church of Barrington ("Church") was represented by Randall L. Mitchell, Esq. of Adducci, Dorf, Lehner, Mitchell & Blankenship, P.C., located in Chicago, Illinois. For Respondents