Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02110 Richard E. Mclnnes, in his individual capacity, and in his capacity as trustee, and Robin A. Mclnnes, in her individual capacity, and in her capacity as trustee Name of the Respondent Hearing Site: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF THE CONTROVERSY Customers v. Member Firm REPRESENTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between / Name of Claimants Joseph Paul Smith and Lorraine Durnane 96-01344 Name of Respondent Cruttenden Roth Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 27, 1996, Claimants Joseph Paul Smith and Lorraine Durnane ("Claimants"), who appeared Pro Se, alleged that Respondent Cruttenden Roth, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John P. Arciero 96-01343 Name of Respondents Sterling Foster & Company, Inc. Claudia Silver Anthony Muratore Bear Stearns Securities Corp. REPRESENTATION For Claimant: Stephen Murphy, Esq. of Pino & Dicks, Longwood, FL. For Respondents: Leslie K. Case, Esq. of Gersten, Savage, Kaplowitz, Fredericks & Curtin, LLP, Ne

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Gary Bogner and 01-01193 Troy, Michigan Gruntal & Co., L.L.C., and Thomas W. Fox REPRESENTATION OF PARTIES Gary Bogner ("Claimant") was represented by Andrew Stoltman, Esq., and Thomas A. Hargett, Esq., Maddox, Koeller Hargett & Caruso, Chicago, Illinois, and Indianapolis, Indiana. Gruntal & Co., L.L.C ("Gruntal") and Thomas W. Fox ("Fox"), hereinafter referred to as

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David E. Mayhew David Mayhew FBO Lauren C. Mayhew David Mayhew FBO Briana M. Mayhew Sharon S. Mayhew David E. Mayhew Profit Sharing Plan 96-01342 Name of Respondents PaineWebber, Inc. Sam GuiHano Dianne Borden Warren R. Schreiber Lorette D. Farris John A. Gentilella, Jr. Vincent Mongno The Estate of

JUL.20.1998 8=19AM NPSD REGULATION FL NO.663 P. 15 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants .• Community Diagnostic Centers, Inc., H. Christopher Starkey and Louisa H. Starkey , NASD CASE NO. 96-01341' Name WJ, Gallagher & Company, Inc., William J. Gallagher, Robert W. Kendricfc, Robert P, tentz, HI, and Harold H. Harris For Claimants: Sco

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard F. Berry 96-01339 Name of Respondents Royal Alliance Associates, Inc. Morton J. Potoff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 26, 1996, Claimant Richard F. Berry, ("Claimant"), who appeared Pro Se, alleged that Respondents Royal Alliance Associates, Inc. ("R

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Susan Rossel Barry R. Eisenberg, P.C. Philip Sufian Trust 96-01338 Names of Respondents Kara Boudreau Grady Smith Barney, Inc. REPRESENTATION For Claimants Susan Rossel, Barry R. Eisenberg, P.C., and the Philip Sufian Trust (collectively referred to as the "Claimants"), appeared David B. Bruckman, Esq., with the law offices of Barry R. Eisenbe

NATIQNALASSOCIATION OF SECURITIESDEALERS ARBITRATION In the Matter of the Arbitration Between ADOLPH W. DUNSING, and PAINEWEBBER, INC., Case Number 96-01336 DECISION Adolph W. Dunsing Pro Se 133 Route 32A Saugerties, New York 12477 Lisa Catalano Tillem, Esq. Paine Webber, Inc. 1200 Harbor Boulevard Weehawken, New Jersey 07087-6791 Claimant, Respondent. Respondent PaineWebber, Inc., by undated Notice of Moti

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Robert P. McFadden, Claimant, f v. No. 96-01332 Edwin F. Prizer, III, and Stifel,Nicolaus&Co., Respondents. REPRESENTATION OF PARTIES Claimant Robert P. McFadden ("Claimant") appeared on his own behalf. Respondents Edwin F. Prizer, m ("Prizer"), and Stifel, Nicolaus & Co. ("SNC") (or jointly referred to as "Respondents") were represented by Rochel