N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Russoniello 96-02877 Name of Respondent Securities Research, Inc. REPRESENTATION For Claimant: Claimant's father, Joseph P. Russoniello (uncompensated "attorney in fact" representative). For Respondent: Layne Verebay, Esq., Freedman & Verebay, P.A., North Miami, FL. CASE INFORMATION Statement of Claim filed: July 1,

AWARD NASD Regulation, Inc. Office of Dispute Resolution .. In the Matter of the Arbitration Between Larry Craig Clutter, and Roxe Ann Clutter Claimants, and No. 96-02870 Dennis Wu, Respondent. REPRESENTATION OF PARTIES Claimants Larry Craig Clutter (individually referred to as "Clutter") and Roxe Ann Clutter (collectively referred to as "Claimants") appeared pro se. Respondent Dennis Wu ("Wu" or "Respondent 1 *) appeared pro se.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alfred G. and Mae Adele Lynch 96-02868 Name of Respondents Olde Discount Corporation Steven Solano REPRESENTATION For Claimant: Scott Taylor, Securities Arbitration Specialists, Inc., Veto Beach, Florida, Richard C. Migtiaccio, LL.M., Winter Park, FL and Joel S. Hanover, Esq., Vero Beach, FL. For Respondents: Ina N. Otto,

STIPULATED M . A . S . D . NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant PaineWebber Incorporated No. 96-02866 Name of Respondent James B. Moran REPRESENTATION OF PARTIES For Claimant: Lubiner & Schmidt Attn: David W. Schmidt, Esq. For Respondent: INFORMATION Statement of Claim filed on or about July 3, 1996 Claimant's Submission Agreement signed on July 3, 1996 Statement of Answer filed on or about August 8, 1996

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William G. Herlihy, as trustee for the Pathology Biomedical Laboratories Profit Sharing Plan 96-02864 Name of Respondents Smith Barney Inc. Roger Diebel CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 5, 1996 claimant William G. Herlihy, as Trustee for the Pathology

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David C. and Annie Kennicutt 96-02863 Name of Respondents Fidelity Brokerage Services, Inc. d/b/a Fidelity Investments CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 5, 1996, claimants David C. and Annie Kennicutt ("claimants"), who appeared Pro Se, alleged that respondent F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William G. Herlihy 96-02862 Name of Respondents Smith Barney, Inc. Roger Diebel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 5, 1996, Claimant William G. Herlihy ("Claimant"), who appeared Pro Se, alleged that on November 15, 1994, he contacted Respondent Roger Diebel ("Die

Award NASD Dispute Resolution, Inc. nrp n L OQQI FL ARBITRATION In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. Case No. 00-05097 Name of Respondent William F, Hill, Jr, Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Claimant Wachovia Securities, Inc. ("Wachovia"), hereinafter referred to as "Claimant 11 : Pamela P. Wamcment, Senior Vice President and Deputy General Counsel, Wacho

- t ' N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the~Matter of the Arbitration Between Name of Claimant Harold Weldon 96-02861 Name of Respondents Prudential Securities Inc Smith Barney Shearson, Inc. Commonwealth Associates, Inc. • : Gilford S^j^ies Inc. ; -^ v Jeffrey George Nunez ,, ;; For claimant Harold Weldon ("claimant") appeared his representative John B. Lyle, Esq. , a so

In the Matter of the Arbitration Between Name of Claimant Zakria A. Khan Name of Respondent Quick and Reiliy, Inc. 96-02860 REPRESENTATION For claimant Zakria A. Khan ("claimant") appeared David H. Zimmer, Esq., a sole practitioner located in Potomac, Maryland. For respondent Quick and Reilly, Inc. ("respondent") appeared Bennett Falk, Esq., from the law firm of Morgan, Lewis & Bockius LLP located in Miami, Florida. CASE INFORMATION Stat