NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kenneth T. Hall and 95-00032 Name of Respondent M. Rimson & Co., Inc. Chris Kovacevich REPRESENTATION OF PARTIES Kenneth T. Hall ("Claimant") appeared pro se. M. Rimson & Co., Inc. ("Respondent M. Rimson") did not respond to the Statement of CIsaim Chris Kovacevich ("Respondent Kovacevich") did not respond to the Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph Sprang 95-00016 Name of Respondents Olde Discount Corporation Jahn D. Gazder Timothy Haberstro REPRESENTATION Claimant Ralph Sprang appeared pro se. For respondents Olde Discount Corporation ("Olde 11 ) and Jahn D. Gazder ("Gazder") appeared Timothy L. Isora, Esq., Corporate Attorney of Olde Discount Coipo

N.A.S.D. AWARD IN THE MATTER OF THE ARBITRATION BETWEEN STANLEY E. GATELY, CATHERINE GATELY and STANLEY E. GATELY AS TRUSTEE of the ARKANSAS VALLEY ANESTHESIA ASSOCIATES, P.A. PROFIT SHARING PLAN and NO. 95-00009 WILLIAM JOSEPH GALANTE REPRESENTATION Stanley E. Gately, Catherine Gately and Stanley E. Gately as Trustee of the Arkansas Valley Anesthesia Associates, P. A. Profit Sharing Plan ("Claimants") were represented by Roger D. Rowe, Wright,

* ! ' < • N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hank Gatti 95-00002 Name of Respondents Sovereign Equity Management Corp. Albert Anthony Matani REPRESENTATION For Claimant, Hank Gatti ("Gatti 11 ): Allan J. Fedor, Esq. and Franell Fedor, Esq. of Fedor & Fedor, of Largo, FL. For Respondents, Sovereign Equity Management Corp. ("Sovereign") and Albert

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla|mants Boleslaw Kielar Janina Kielar Award No. vs. 95-00001 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION Qaimants, Boleslaw Kielar and Janina Kielar, were not represented by counsel. For Respondent, Fidelity Brokerage Services, Inc., David C. Boch, Esq. from the firm of Bingham, Dana & Gould, Located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dimitar Nikolov 94-03971 Name of Respondent Prudential Securities, Inc. REPRESENTATION For claimant Dimitar Nikolov ("claimant**) appeared Martin Domb, Esq. of the law firm of Hill Betts & Nash located in New York, New York. For respondent Prudential Securities, Inc. ("respondent") appeared Andrew Sidman, Esq. of the law fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, JNC. In the matter of the Arbitration Between Name of Claimants Virginia Bell, Susan Conrad, Virginia Walleck Logan as co-trustees of The Virginia Walleck Logan Trust; Virginia Walleck Logan Name of Respondents NASD Arbitration No. 94-03788 Corporate Benefit Securities, Inc.; Patrick R. Hobert; Leonard Kahn; Russell Alan Smith; Jonathan Honousek; Weldon Gibson; Steven Peeler; William Sto

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGin ATTQN TNC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant RafiM.Khan NASD Regulation, Inc. Office of Dispute Resolution Arbitration No.94-03333 Name of Respondents Irving Kott, William Stratum, Walter Senior and J.B. Oxford & Co. Name of Claimant RafiM.Khan NASD Regulation, Inc. Office of Dispute Resolution

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fiserv Correspondent Services, Inc. n/k/a Fiserv Securities, Inc. (Claimant) vs. Congressional Securities, Inc., David H. Zimmer, Sherry M. Zimmer, David H. Zimmer Money Pur. Plan, Sherry M. Zimmer Money Pur. Plan, Sheldon L. Contract, Harriet E. Contract, Sheldon L. Contract DDS PA Employees PSP DTD 9-17-87, David C. Diephouse, Youness E. Hendifar, Mahnaz Hendifar, John Joseph, B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Christopher Schmidt and PaineWebber, Incorporated, Claimant/Counterrespondent, v. No. 94-02101 Carty & Company, Inc., Respondent/Counterclaimant REPRESENTATION OF PARTIES Martin Aussenberg, Esq., Memphis, Tennessee, represented Claimants/Counterrespondents Christopher Schmidt and PaineWebber Incorporated ("Claimants"), Shepard D. Tate, Esq., and Christopher G. Lazarini, Esq., of