N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen K. Vandervliet 96-03249 Name of Respondent v Merrill Lynch Pierce Fenner & Smith Enc CASE SUMMARY in a case filed with the National Association of Securities Dealers Regulation, Inc. on July 29. 1996. claimant Stephen Vandervliet ("claimant"), who appeared Pro Se, alleged that respondent Merr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants — Paul and Nonna Vakassian 96-03248 Name of Respondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 29, 1996, Claimants Paul and Norma Vakassian (Claimants"), who appeared Pro Se; alleged that Respondent Stratton Oakmont, Inc. ("Respondent") through its

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant JW Charles Securities Inc 96-03247 Name of Respondent Randall Rothenberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on July 29, 1996, claimant JW Charles Securities, Inc. ("Claimant"), through its representative afid tohouse ; counsel, Greg

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Evelyn K. Cooper Trust by trustees Evelyn K. Cooper, Robert Cooper & Hinton Nobles 96-03245 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Val P. Thomas CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on July 29, 1996, with a sup

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilford Securities, Inc., (Claimant) vs. Kevin Sylla, (Respondent) Case Number: 00-05144 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gilford Securities, Inc., hereinafter referred to as "Claimant": Michael Kalmus, Esq. Attorney at Law, New York, NY. Previously represented by: Norman S. Lawi, Esq., General Counsel, Gilford Securities, Inc., New York, NY.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Robert H. Mobley, III Lindsay Mobley Williams Case No. 00-00522 Names of Respondents Salomon Smith Barney, Inc. The Robinson-Humphrey Company, LLC Paul Dennis Way REPRESENTATION OF PARTIES For Robert H. Mobley, III and Lindsay Mobley Williams, hereinafter collectively referred to as "Claimants": T. English McCutchen, III, Esq. o

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Marc Attar Nina Attar Hazelnut Health & Diet Foods, Inc. Def. Case No. 96-03240 Name of Respondents Dan Glass William C. Gerhauser William H. Gerhauser Rothschild Global Investments Inc. REPRESENTATION Marc Attar, Nina Attar, and Hazelnut Health & Diet Foods, Inc. Def. (collectively "Claimants") were represented by Dan A. Druz, Attorney

N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Michael G. Sammon 96-03235 Name of Respondents/Counter-Claimants Pierce & Company L.P.; Wayne L. Pierce; Pierce Financial Inc.; and Pierce Capital, Inc. REPRESENTATION For Claimant/Counter-Respondent: Michael G. Sammon ("Sammon") appeared pro se. For Respondents/Counter-Claimants: Pierce & Co

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Bernard and Lenore Rapkin, and Bernard Rapkin as Co-Trustee of the account of Bernard and Lillian Rapkin v. Arbitration No. 96-03232 Name of Respondents Smith Barney, Inc., Oppenheimer & Co., Inc., Lee A. West REPRESENTATION For Claimants: For Respondents Smith Barney, Inc. and Lee A. West: For Respondents Oppe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counterclaim Respondent Raymond, James & Associates, Inc. 96-03229 Name of Respondent/Counterclaimant/ Third Party Claimant Erik Papenfuss Names of Third Party Respondents Bill J. Short II Stephen Trigg Kuhn Joseph Tuorto REPRESENTATION For Claimant Raymond, James & Associates, Inc. ("Raymond James 11 ) and