N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James C. Stathis Roger M. Hoyt Nathan Markowitz Nicholas Cinelli 95-04489 Name of Respondent John Hancock Mutual Life Insurance Company REPRESENTATION For Claimants, James C. Stathis ("Stathis"), Roger M. Hoyt ("Hoyt"), Nathan Markowitz ("Markowitz") and Nicholas Cinelli ("Cinelli"): Elihu H. Herman, Esq. of Krug, Berm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Adam Segan 95-04487 Name of Respondent Pmdential Securities Inc. David Stack David Miller REPRESENTATION For claimant Adam Segan ("claimant") appeared Darren Lampert, Esq. of th£ lawl:flim of -• Lampert & Lampert located in New York* New York. l.nmperi K: tar For respondents Pmdential Securities Inc. ("Prudentiar), Davi

AWARD NASD Regulation, Inc. Office of Dispute Resolution ® National Association Securities DeaJrr * In the Matter of the Arbitration Between n Lawrence R. Findley, and Helen Findley, All Rights Reserved Claimants, v. No. 95-04486 Century Capital Corp. of South Carolina, and William D. Hensley, Respondents. REPRESENTATION OF PARTIES Claimants Lawrence R. Findley and Helen Findley were represented by Robert J. Findley; Esquire of H

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. vs. Case No. 95-04484 Name of Respondent James Dorney REPRESENTATION For Claimant Gilford Securities, Inc. ("Claimant"), Joel Levinson, Esq. in house counsel located in New York, New York. Respondent James Dorney ("Respondent") did not appear at the hearing and is located in. East Moriches, New York. CASE INFORMATION

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of Claimants Christine A. Hatch and Hatch Investment Services, Inc. 95-04479 Name of Respondent Chase Manhattan Investment Services REPRESENTATION For Claimants, Christine A. Hatch ("Hatch") and Hatch Investment Services, Inc. ("HIS"): Scott C. Ilgenfritz, Esq. of Johnson, Blakely, Pope, Bokor, Ruppel & Burns, P.A., Taftspa, F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * ,, .. , . . .. ,, © National Association of Securities Dealers, Inc. Name of Claimant(s) Richard V. and Margaret B. Colliflower M *#** Reserved 95-04475 Name of Respondent^ Ephram Pollack Richard V. Singer Hillcrest Financial Corp. CASE SUMMARY In a claim filed with the National Association of. Securities Dealers, Inc. on

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Hamilton Investments, Inc. Claimant and Counter-Respondent, v. Kevin Lee Otto Respondent and Counter-Claimant. No. 95-04466 © National Associate Securities Dcfth'-' AK Rights Reserved Claimant and Counter-Respondent Hamilton Investments, Inc; (hereinafter sometimes referred to-f< as "Claimant" or "Hamilton") was represented by Michael A^

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant T. Patrick LaPorte and Names of Respondents Bear Stearns & Co., Inc., Bear Stearns Securities Corp., and Bear Stearns Case Number: 01-01970 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Members and Non-Member REPRESENTATION OF PARTIES T. Patrick LaPorte ("Claimant") was represented by Anthony V. Trogan, Esq., Anthony V.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary E. Thomas and 95-04465 Name of Respondent Chatfield Dean & Company, Inc. Schneider Securities, Inc. Mark E. Thomas REPRESENTATION OF PARTIES Gary E. Thomas ("Claimant") was represented by Stuart N. Bennett, Esq., Brega and Winters, P.C., Denver, Colorado. Chatfield Dean & Company, Inc. ("Respondent Chatfield") was r

N.A.S.D. AWARD NATIONAL ASSOCIATION O* SKCWUTIES HEALERS In the Matter of the Arbitration Between Andrew and Gloria M. Mennie 95-04462 .„%••«•^.-•'-iv." Nameoffoapondent ^ National Association of Merrill Lynch Pierce Fenner & Smltibi Lac All Ri~V.i» R-servi-d SUMMARY ID a claim filed wito idle National Association of Securities Dealers, IDC. on September 19$ 109i3uv. ill^l wi& Claimants Andrew H- an< i Gloria M. Mennie ('Claimants"), who appe