NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Claimants Thomas R. Jones as Personal Representative for the Estate of Elizabeth Jones Case Number 96-03101 Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John Tucker REPRESENTATION OF PARTIES For Claimant Thomas R. Jones as Personal Representative for the Estate of Elizabeth Jones ("Jones"): Robert G. Haile, Esq. and Susan B. Yoffe

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Tommy S. Giljum and 96-03096 Name of Respondents Smith Barney, and Robert Campbell REPRESENTATION OF PARTIES Tommy S. Giljum ("Claimant") was represented by MichaeJ Salcido, Esq., Phoenix, Arizona. Smith Barney Inc. ("SBI") and Robert Campbell ("Campbell") (collectively referred to as "Respondents") were represented by Mario

N.A.S.D. REGULATION. INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Sarah Williams Vick 96-03094 Name of Respondents Scott & Stringfellow, Inc. Daniel S. Little REPRESENTATION Claimant Sarah Williams Vick ("claimant") appeared Pro Se. For respondents Scott & Stringfellow, Inc. ("S&S") and Daniel S. Little ("Little") appeared their representative Elizabeth F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joan M. Roberts and 96-03092 Name of Respondent Paine Webber, Inc. John McFerran REPRESENTATION OF PARTIES Joan M. Roberts ("Claimant") was represented by William D. Nelson, Esq., SHvka Robinson Waters & O'Dorisio, Denver, Colorado. Paine Webber, Inc. ("Respondent PaineWebber") and John McFerran ("Respondent McFerran") w

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Andrew Garrett, Inc., ("Claimant") vs. Thomas Song and Lawrence Topper, ("Respondents") Case Number: 96-03088 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Andrew Garrett, Inc., hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY. Respondent Thomas Song ("Song") appeared pro se. Respondent Lawrence Topper ("Topper") appeared pro se. CASE IN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abdul Al-Najem, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-05134 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Michael A, Oswald, Esq. Edward W. Russey, HI, Esq. Oswald & Yap Irvine, California For Respondent/Counter-Claimant: John M. McCoy, Esq. > Bird, Marella, Boxer & Wolper Los Angeles, Cali

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Anthony Colao Louis Langer 96-03087 Name of Respondent(s) Josephthal Lyon & Ross Inc. REPRESENTATION For Claimants Anthony Colao and Louis Langer ("Claimants") appeared Roy A. Klein, located in Melville, New York. For Respondent Josephthal Lyon & Ross, Inc. ("Respondent") appeared Evan D. Jay, Esq., in-house counsel for Josephthal Lyon & Ross, located

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants James T. Martin Low Country OB/GYN Profit Sharing Plan 96-03086 Name of Respondents Fidelity Brokerage Services, Inc. William F. Morganweck Lore S. Brown Investment Management Advisory Services Fidelity Investment Advisor Group REPRESENTATION For Claimants James T. Martin ("Martin") and Low Country O/B GYN Profit Sh

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 96-03083 Name of Respondent Jay Gibson Rogers REPRESENTATION For Claimant: Lorraine M. Ferrigno, Esq. of the Law Offices of Mark J. Alonso, P.C., New York, New York. For Respondent: Gerald B, Kline, Esq. of the law firm of Suns Moss Kline & Davis LLP, Atlanta, Georgia. CASE INFORMATION Statement of Claim filed: July 16, 1

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Robert W. Isenberg 96-03078 Name of Respondents Donaldson Luikin & Jenrette Securities Todd N. Kanter REPRESENTATION For Claimant Robert W. Isenberg ("claimant") appeared Frederick T. Colder, Esq. of the law offices Bernstein, Colder & Miller, P.A., located in Boston, Massachusettes. For Respondents Donaldson Lufkin & Jenrette Securities ("DLJ") and Todd N. Kante