N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between tyame of, (^ajmantj 96-03297 96-03044 96-03360 964)1743 96-03369 James C. and Jayne L. Stuart Name of Respondents John A. Stanley Newby & Company CASE NUMMARY Ln a case filed with the National A&socaition of Securities Dealers Regulation, Inc, on April 22, 1996, claimants James and Jayne Stuart ("claimants"), who appeared Pro Se

NASD REGULATION INC. STIPULATED AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Owen K. and Janet R. Crist 96-01738 Name of Respondents Sovereign Equity Management Corp. Vincent Albanese , Joseph Giordano Jeffrey Supinsky REPRESENTATION Claimants Owen K. and Janet R. Crist ("Claimants"), appeared pro se. For Respondent Sovereign Equity Management Corp. ("Sovereign") appeared Kevin P. Simm

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In Che Matter of the Arbitration Between Name of Claimant Ferris, Baker Watts, Inc. 96-01737 Name of Respondent Isaac N. Smith, V REPRESENTATION Claimant Ferris, Baker Watts, Inc. ("Claimant") was represented at the hearing by Theodore W. Urban, General Counsel, Ferris, Baker Watts, Inc., Washington, D.C. Respondent Isaac N. Smith, V ("Respondent") was repr

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen P. Bogosian 96-01734 Name of Respondents Josephthal Lyon & Ross Inc. Mark Elanowitz REPRESENTATION For Claimant, Stephen?. Bogosian ("Claimant") appeared James D. Lantier, Esq. of the law firm Smith, Sovik, Kendrick & Sugnet located in Syracuse, New York. For Respondents, Josephthal Lyon & Ross Inc. ("JLR") and Mark Elanowitz ("E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Margaret M. Cole 96-01733 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1996, claimant Margaret M. Cole ("claimant") through her representative, Robert M. Shipman, Esq., a sole practitioner located in Huntsville, Alabama, alleg

NASD Regulation Inc., Office of Dispute Resolution Arbitration No. 97-02567 Award Page 2 of 5 HEARTNO INFORMATION Pre-Hearing Conference: May 8,1998 before One arbitrator. Hearing Dates/Sessions: June 9,1998 for Two (2) sessions; June 10, 1998 for Two (2) sessions; and June 11, 1998 for Two (2) sessions. Hearing Location: Chicago, Illinois. Claimant alleged that Respondent Mahan, while employed by or acting as an agent for Respondent A.S. Goldme

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC In the Matter of the Arbitration Between Name of Claimant Geoffrey Hendrick and Case Number 96-01725 Name of Respondent Scottsdale Securities, Incorporated REPRESENTATION OF PARTIES Claimant Geoffrey Hendrick was represented by Bill Abney, Jr., Esq. of Abney & Reed located in Oklahoma City, OK, Respondent Scottsdale Securities, Inc. was represented by Lisa M. Wood, Esq. of Arms

r BY: 11-17-98 ; 9:24AM ;NASD ARBITRATION DPT- 12122Q85165;# 7/19 SENT BY: 10-27-37 tlfrdLAM ;NA3D ARBITRATION OPT- 807 345 0006:* 2/13 AWARD NASP a*nT?LA T yfw T INC ftwine OF DISPUTE In the matter of the Arbitration Between Robert Wafoscott Joyce Wainscott y Arbitration No. 96-01722 Merrill Lynch Pierce Forcer ft Smith, Inc. RobertO. Green REf PKSENTATION OF PARTIES , Robert Wainscatt and Joyce Wainscott represented the

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Ronald K. Rappold NASD Case Number 96-1720 Names of Respondents Nationwide Securities, Corp. Howard Zelin and Marco Fiore REPRESENTATION Claimant Ronald K. Rappold ("Rappold") appeared pro se. For Respondent Nationwide Securities, Corp, ("Nationwide") Jonathan A. Pace, Esq. of Pace & Rickey, L.L.P., Dallas, Texas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration H-—•-. n Name of Claimant Brent Dowdle 96-01717 Name of Respondent Corporate Securities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 19% Claimant Brent Dowdle ("Claimant"), who appeared Pro Se, alleged that Respondent Corporate Securities Group, Inc. ("Corporate Securities") engaged in