NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation 96-03830 Name of Respondent Engelbertus J. Mens ink REPRESENTATION For Claimant, Paragon Capital Corporation ("Claimant"), appeared Jordan D. Becker, Esq., of Smith Campbell & Paduano, located in New York, New York. Respondent, Engelbertus J. Mensink ("Respondent"), appeared pro se. CASE INFORMATION Statement of Claim filed o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03829 Brian Clarke, claimant v. John Burkhardt, respondent. ATTORNEYS: Claimant appeared Pro Se,, Watertown, MA Respondent appeared Pro Se, Allentown, PA DATE FILED: 8/28/96 CASE SUMMARY: Claimant alleged failure to properly assess claimant's risk, unsuitable investment and failure to supervise. Claim Data Award Data Claim: $6,144.00 Award: $1,000.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John Rosso 96-03827 Name of Respondents Marie Blonder, James Cassidy, and William Cutrone REPRESENTATION For Claimant John Rosso ("Claimant") appeared David Zimmer, Attorney at Law, Greenwich, CT. Respondent Mark Blonder ("Blonder") did not respond or attend the hearing and was unrepresented. Respondent James Cassidy ("Cassidy") did not respond or atten

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chastain Family Trust, et al. v. Morley Securities, Inc. and Carl C. Roba Case Number: 00-05171 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Chastain Family Trust Thomas W. Mahoney Michael Huberman Micheal Huberman & Associates La Quinta, California Michael Huberman Micheal Huberman & Associates La Quinta,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel I. Hott 96-03823 Name of Respondents Investors Associates, Inc. David Epstein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, 1996, claimant Daniel I. Hott ("claimant"), who appeared Pro Se, alleged that respondents Investors Associates, Inc. ("IA") and David Epst

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paul D. Blasetti, Sr. 96-03712 Name of Respondents Bryn Mawr Investment Group Howard Flesher William Robert Frazier, Jr. REPRESENTATION Claimant Paul D, Blasetti, Sr. ("Claimant") was represented by David C. Francescki, Jr., Esq., Stradley Ronon Stevens & Young, Philadelphia, PA. Respondent Bryn Mawr Investment

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-03711 Name of Respondent William Michael Hayden R EPHES1SNTA1TON For Claimant Dean Witter Reynolds, Inc. ("DWR") appeared Meredith W. Holier, Esq., of the law firm Moore & Van Allan, PLLC, located in Charlotte, NC. Respondent William Michael Hayden ("Hayden") appeared pro se, CASE INFORMATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Herman Drauche 96-03710 Name of Respondents Janney Montgomery Scott Inc. Kurt R. Saeger REPRESENTATION Claimant Herman Drauche ("Claimant") was represented by Anthony J. Horn, Esq., Philadelphia, PA. Respondents Janney Montgomery Scott ("IMS") and Kurt Saeger ("Saeger") was represented by Paula S

N.A.S.D. REGULATION, INC AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert M. Hagan 96-03707 Name of Respondent Creenway Capital Corp., now known as, Cortlandt Capital Corporation REPRESENTATION For Claimant: Robert M. Hagan ("Hagan") was represented by Thomas C. Wagner, Esq. of Chattman, Gaines & Stern, located in Cleveland, Ohio. For Respondent: Greenway Capita

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ken C. Bates and Laurie A. Bates 96-03706 Name of Respondent Global Strategies Group Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on August 27. 1996. claimants Ken C. Bates and Laurie A. Bates ("Bates"), through their representative, R. Nicholas Palmer, Esq., of the la