AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Stephen Patterson and Albert A. Pansi v. Arbitration No. 96-03222 Name of Respondent Kensington Wells, Inc., Salvador Tacher, Steven Vornea, and Adam Levy REPRESENTATION For Claimant: Leonard Steiner Steiner & Libo Beverly Hills, California For Respondent Salvador Tacher: Michael A. Bertz, Esq. Attorney at Law

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael Zinger Claimant, v. Case Number 96-03221 Ceres Securities, Inc. Respondent. REPRESENTATION OF PARTIES Claimant Michael Zinger ("Claimant") appeared pro se. Respondent Ceres Securities, Inc. ("Respondent" or "Ceres Securities") was represented by Mary K. Fay, President of Ceres Securities, Inc. Respondent was previously represented by Pat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bret Cipes 9643214 Vanguard Brokerage Services For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, P.C., Longwood, Florida, For Respondent: Pauline C. Scalvino, Esq. of The Vanguard Group, Valley Forge, Pennsylvania. CASE INFORMATION Statement of Claim filed on: My 29, 19%. Claimant's More Definitive Statement of Claim filed

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Elizabeth D. Karl 96-03205 Name of Respondents A.G. Edwards & Sons, Inc. First Albany Corporation Franklin L. Grey REPRESENTATION For Claimant, Elizabeth D. Karl ("Claimant"), appeared Michael P. DeGroat, Esq., of the law firm Eaton, Griffith, DeGroat & Northrup located in Walton, New York. For Respondent A.G. Edwards & Sons, Inc. ("

JUN.22.1998 10:35RM NfiSD REGULATION TL NO.220 P.19 N.A.S.D. STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of ^^Arbitration Donald W. Knaner 96-03204 PaineWebber, Inc. Paul Oilman REPRESENTATION For Claimant Donald Knauer ("Knauer"): Albert ftapoport, Esq., Boca Raton, Florida. For Respondents Painewebber, Inc. ("PaineWebber") and Paul Oilman ("Oilman"): Lisa Catalano Tillem, Esq. of PaineWebber, Inc., Wee

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John Schley 96-03201 Name of Respondents Robert M. Grinberg La Jolla Capital Corporation REPRESENTATION For Claimant, John Schley ("Claimant"), appeared Jane Barton, Esq. of the law firm Reboul, MacMurray, Hewitt, et al. For Respondent, Robert M. Grinberg ("Grinberg"), appeared William Ryder located in New York, New York. For Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Worthington Venture Fund, Inc., Claimant Vs. Public Securities, Inc., Respondent. Case Number: 00-05142 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant Worthington Venture Fund, Inc. ("Worthington"), hereinafter referred to as "Claimant," was represented by Phillip L. Harmon, Esquire, Worthington, Ohio. Respondent/Counterclaimant Public Secu

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Calavetta, (Claimant) vs. Dickinson & Co., (Respondent) Case Number: 96-03199 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert Calavetta, hereinafter referred to as "Claimant" appeared pro se. Respondent, Dickinson & Co., hereinafter referred to as "Respondent": Barbara Bennett, Vice President, Dickinson & Co., Des Moines, Iowa. CASE INFORMATION

N.A.S.D. ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, 96-03192 In the Matter of the Arbitration Between Name of Claimant Keticon S. Kurland Name qf a ResP9ndent J. C. Bradford & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 25, 1996 Claimant Kenton S. Kuriand ("claimant"), who appeared Pro Se, alleged that he contacted respondent I,C. Bradford & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gerald Sherwin 96-03191 Name of Respondents J.B. Oxford & Company Ali Aboukinane Julian Guilarte Richard A. Wright, H Jose M. Abadin Shane Khubchandani REPRESENTATION For Claimant: Stephen Murphy, Esq., of the law firm of Pino & Dicks, P.A., Longwood, FL. For Respondents: Cynthia M. Schleindl, Esq., of the law f