N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Morton and Zelda Michelson 96-00073 Name of Respondents Buttonwood Securities, Inc. Hector M, Durant, II CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 5, 1996 Claimants Morton and Zelda Michelson ("M. Michelson"), who appeared Pro Se, alleged that Respondent Buttonwood S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimaritCsl GKN Securities Corp 96-00071 Name of Respondent/a) Andre Aleksis REPRESENTATION For Claimant, GKN Securities Corp. ("Claimant"), appeared Katherine Nathan, Esq. located in New York, N.Y. Respondent Andre Aleksis ("Respondent") appeared Pro Se. CASE INFORMATION * Statement of Claim filed: December 26, 1995 Cl

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dean Witter Reynolds, Inc., Claimant, and No. 96-00064 Bryan J. O'Leary, Respondent, REPRESENTATION QF PARTIES Claimant Dean Witter Reynolds, Inc. was represented by Will Montgomery, Esquire of Jenkens & Gilcrist located in Dallas, Texas. Respondent Bryan J. O'Leary was represented by John E. Dees, Esquire, solo practitioner, of Dallas, Texa

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ann M. Ledet and Case Number 96-00060 Names of Respondents Everen Securities, Incorporated and Patricia B. Clark REPRESENTATION OF PARTIES Claimant Ann M. Ledet was represented by Gerald S. Siegmyer, Esq. and David Sharp, Esq. of Greenberg, Peden, Siegmyer & Oshman located in Houston, TX. Respondent Everen Securitie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene C. Maloney, (Claimant) v. Magnum Securities of New York, Inc. and George William Lambro, (Respondnets) Case Number: 01-01134 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eugene C. Maloney, hereinafter referred to as "Claimant" appeared pro se in this matter. Respondent, George W. Lambro, ("Lambro") appeared pro se in this matter. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS •j • Ing Che Matter of the Arbitration Between JuteV. Hutchison, Individually and As Pet&onal Representative and Beneficiary of the Estate of Daniel D. Hutchison i 96*00059 Ntune Buckbead Financial Corporation For Claimant June V, Hutchison the Estate of Daniel D. Hutchison ("J. Hutchison" and *D. Hutchison"): Kalju Nefcvasil, Esq. of Goodman &Nekvasil, P. A., Safety Harbor, FL,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) David J. Hogan 96-00049 Name of Respondent(s) Mike Laskowski Hibbard Brown & Company Inc. (Bankrupt) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1996, Claimant David J. Hogan, who appeared Pro Se, alleged that Respondent Mike Laskowski of Hibbard Brown & company c

flUG.10.ig98 9=33fiM NfiSD REGULATION FL NO.990 P.14 N.A.S,D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between. Name ofClaimants Robert L, Faxon and Glenda L, Faxon NASD CASE NO. 96-00034 Name of Respondents Dean Witter Reynold Inc. and Charles H. Reynolds REPRESENTATION For Claimants: Thomas F. Shine, Esq., Melbourne, Florida and Stephen T. Gannon, Esq. of LeClair Ryan, Richmond, Virginia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Steven J. & Carol Francois 96-00033 Name of Respondents Kevin High Anthony Ferrante Anthony Rodrigues Corporate Securities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on January 3, 1996, claimants Steven J. and Carol Francois, who appeared Pro Se ; allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Matthew N. Margulis 96-00032 / Name of Respondents A.G. Edwards & Sons, Inc. Robert Mongelli REPRESENTATION Claimant Matthew Margulis ("Margulis") appeared Pro Se. For Respondents A.G. Edwards & Sons, Inc. ("Edwards") and Robert Mongelli ("Mongelli"), collectively ("Respondents") appeared Hope Johnson, Esq. of A.G. Edwa