tfPR.21.1998 g:27Ah HflSD REGULflTION FL NO. 588 P. 12 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sara Bas Chapero Case #96-00436 Names of Respondents RD Capital Group, Inc. Ramon L. Dominguez REPRESENTATION For Claimant Sara Bas Chapero ("Bas"); Harold D. Vicente, Esq. of Vicente de Cuebas, Hato Rey, Puerto Rico. For Respondents K,D. Capital Group, Inc. ("RD Capital") and R

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between The Ohio Company, Inc. Claimant, v. No. 96-00432 David P. Cavanagh Respondent. REPRESENTATION OF PARTIES Claimant The Ohio Company, Inc. ("Claimant") was represented by Marion H. Little, Jr., Esq. of Zeiger & Carpenter located in Columbus, Ohio. Respondent David P. Cavanagh ("Respondent") was represented by S. Thomas Wienner, Esq. of Feeney

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Jackson Roofing & Gutters Inc Pension Plan & Trust Jackson Roofing & Gutters Inc Profit Sharing Plan & Trust Claudia K. & John C.L. Jackson 96-00427 hfome of Respondents Kemper Securities, Inc. Thomas Gillen REPRESENTATION _M- «_"*• •— ^^^^^^•flMeSMMB^^^^^^^^^MHK ^ _ For claimants Jackson Roofing & Gutters, Inc. Pension Plan & Trust ("Pension Plan"), Jackson

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Dean N. Delis Monique L. Delis v. Arbitration No. 96-00423 Name of Respondent^ Dakin Securities, Inc. Jeffrey P. Gradinger REPRESENTATION For Claimants: Steven M. Sherman, Esq. San Francisco, California For Respondents: Anthony M. Englese, Esq. San Francisco, California CASE INFORMATION Statement of C

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Jerry W. Carter CASE NO. 96-00417 Name of Respondents Gerald P. Hirsch Churchill Securities, Inc. Kevin M. Mahon Name of Third Party Respondent Avin E. Bakal REPRESENTATION Claimant Jerry W. Carter ("Claimant"): Howard B. Fossick, Esq. of the law firm of Arent Fox Kintner & Kahn, Washington, DC

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Boston Group, L.P. 96-00409 Name of Respondent Gerard E. Burns REPRESENTATION For Claimant: Richard P. Ryder, Esq., Maplewood, New Jersey. The Respondent Gerard E. Burns did not appear. CASE INFORMATION Statement of Claim filed: January 29, 1996. Amended Statement of Claim filed: June 13, 1996. Claimant's Submis

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 96-00403 Name of Respondent Kirby L. Hatchett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 29, 1996 Claimant PaineWebber, Inc. ("claimant"), who appeared through its representative and in-house counsel, Thomas M. Mierswa, Jr., Esq., alleged that respondent

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Glenna Eacret and Eleanor Mosca and 96-00400 Name of Respondent NationsSecurities REPRESENTATION OF PARTIES Glenna Eacret and Eleanor Mosca ("Claimants") were represented by Robert A. Fink, Esq., Investment Loss Recovery Group, San Diego, California. NationsSecurities ("Respondent") was represented by Cory Hohnbaum, Esq., Kenned

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant: Fidelity Brokerage Services, Inc. Name of Respondent: Craig Michael Porter Case No: 00-05359 Hearing; Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Fidelity Brokerage Services, Inc. ("Fidelity") hereinafter referred to as "Claimant": Laurence K. Richmond, Laurence K. Richmond & Associates, P.C., Quincy, Massachusetts. Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leroy N. Miller & Suree G. Miller Trust 96-00390 Name of Respondents Dean Witter Reynolds Inc. Philip Bresnick Susan N. Dandridge Timothy J. Walsh CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on January 26, 1996, claimants Leroy and Suree Miller, as Trustees for the