N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilbert Charland 96-02026 Name of Respondent Nationwide Securities Corp. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation Inc. on May 10, 1996 claimant Gilbert Charland ("claimant") who appeared Pro Se, alleged that respondent Nationwide Securities Corporation ("Nationwide") felled to

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Sherman C. Craig 96-02022 Name of Respondents PNC Brokerage Pamela Watson REPRESENTATION Claimant Sherman C. Craig ("Claimant") was represented by David L. Sage, II, Esq., Hummel & Coan, Louisvile, KY. Respondents PNC Brokerage ("PNC") and Pamela Watson ("Watson") were represented by Frank F.

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimants Joseph and Margaret "Peggy" Zarrelli 96-02019 Name of Respondents Maidstone Financial Inc. Robert J. Desiano Marshall A. Bernstein REPRESENTATION For claimants, Joseph and Margaret "Peggy" Zarrelli ("claimants"), appeared George V. Cornell, III, Esq. of the law firm George V. Cornell, HI and Associates located in Staten Island, New York. For respondent

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Margaret Bracknell, Claimant, and No. 96-02010 Prudential Securities Inc. and Kevin OTriel, Respondents and Third Party Claimants, G. James Bracknell, Jr., Third Party Respondent. REPRESENTATION OF PARTIES Claimant, Margaret Brackneil, was represented by Paul Brumley, Esquire located in DeSoto, Texas in initial pleadings and thereafter by R.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant City of Dover, Delaware (Finance Dept) 96-02006 Name of Respondents Prudential Securities Inc Cindy Cutforth CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 9 Claimant Mike C. Karia as representative for the City of Dover, DE, ("Claimant"^ who. appeared Pro Se, alleged that Res

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Nancy Lipscomb Bond Claimant, and No. 96-1998 Bear Stearns & Company, Inc. and Stuart G. Dickinson Respondents. REPRESENTATION OF PARTIES Claimant, Nancy Lipscomb, ("Bond"), was represented by James F. Bullock, Esquire of Goodwin & Carlton, P.C. located in Dallas, Texas. Respondents, Bear Stearns & Company, Inc. and Stuart G. Dickinson ("Respondents"), were represented

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Napoleon N. Assam v. Arbitration No. 96-01997 Name of Respondent^ Merrill Lynch, Pierce, Fenner & Smith William K. Chan REPRESENTATION For Claimant: Michael K. Woo, Esq., Law Offices of Harold E. Kahn, San Francisco, California For Respondents: Todd A. Zuckerbrod, Esq., Merrill Lynch, New York, New York CASE INFORMATI

ft r-. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Mary Louise Sauls Claimant, v. Case Number 96-01995 Sutro & Co. and Hunter A. Sauls, Jr. Respondents. Sutro & Co. Cross-Claimant, v . Case Number 96-01995 Hunter A. Sauls, Jr. C ross-Respondent. REPRESENTATION OF PARTIES Claimant Mary Louise Sauls ("Claimant") was represented by Ronald M. Greenspan, Esq. of The

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott S. Singer, (Claimant) vs. Scott Franklin, Salomon Smith Barney, Inc. and Merrill Lynch Pierce Fenner & Smith, Inc. (Respondents) Case Number: 01-02064 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Scott J. Singer ("Claimant"): Stephen H. Weiner, Esq., Law Offices of Stephen H. Weiner, New York, NY. Respondents Scott Franklin ("Franklin") and Salomon S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Richard S. Hinkle Harry Little Larry Brouse 96-01990 96-02620 96-05032 Name of Respondents Ben Lichtenberg Bryn Mawr Investment Group, Inc. REPRESENTATION Claimants Richard S. Hinkle ("Hinkle"), Harry Little ("Little") and Larry Brouse ("Brouse") were represented by James D. Ingram,