Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arlene T. Rosengarten v. Oppenheimer & Co. and Gerry Nemetz Case Number: 99-01591 Heariqg Site: St. Louis, MO REPRESENTATION OF PARTIES Claimant, Arlene T. Rosengarten: Stuart R. Berkowitz, Esq., Platke and Berkowitz, L.L.P., St. Louis, MO. Respondents, CiBC Oppenheimer, Corp. and Gerry Nemetz: Joseph J. Sullivan, Esq., CIBC Oppenheimer Corp., New York, NY. CASE INFORM

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: National Securities Corporation, Claimant v, Scott Ehlers, Respondent, Case Number: 99-01590 Hearing Site: Las Vegas, Nevada (Conducted by Telephone) REPRESENTATION OF PARTIES National Securities Corporation: Patrick L. Hinton, Esq., Hinton & Roth, Truckee, California. Scott Ehlers: No Appearance. CASE INFORMATION Statement of Claim filed: March 24, 1999 Claimant,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Jon Morrison, Claimant v. Janney Montgomery Scott, Inc., James S, Rochford, and Robert M. Cully, Respondents Case Number: 99-01587 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Ryan K. Bakhtiari, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: Paula D. Shaffner, Esq. Saul, Ewing, Remick & Saul, LLP Philadelphia,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; DLJdirect Inc., (Claimant) vs. Daniel J, O'Halloran, (Respondent) Case Number: 00-03461 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, DLJdfrecf Inc., hereinafter referred to as "Claimant": Caroline K. Hall, Esq., Rosenman & Colin, LLP, New York, NY. Respondent, Daniel J, O'Halloran, hereinafter referred to as "Respondent", did not make an appearance

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bruce R. Emerson Name of Respondent Quick & Reilly, Inc. Case No, 99-01585 REPRESENTATION OF PARTEES Claimant Bruce R. Emerson ("Emerson"), hereinafter referred to as "Claimant", appeared pro se. For Respondent Quick & Reilly, Inc. ("Q&R"), hereinafter referred to as "Respondent": Douglas S. Flaherty, Esq., Vice President and Brian McSherry, Esq., Regio

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Gauthier, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Dorothy M. Wenker and Ken LePori (Respondents). Case Number: 99-01583 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, John Gauthier, hereinafter referred to as "Claimant": Karen D. Smith, Esq., Wetzel, Henri & Drucker, LLP, Houston, Texas. Respondent, Merrill Lynch, Pierce, Fenner & Smith,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant David Jaffit, Trustee for The Abby Tmst Case No. 99-01582 Names of Respondents Vincent Albanese Morgan Taylor f/k/a European Community Capital, Ltd. REPRESENTATION OF PARTIES For David Jaffit, Trustee for the Abby Trust ("Jaffrt") hereinafter referred to as "Claimant": David M. Garvin, Esq., Miami, Florida. For Vincent Albanese ("Albanes

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mark Florman Case No. 99-01581 Names of Respondents Salomon Smith Barney, Inc. Gary S. Vogt REPRESENTATION OF PARTIES Claimant appeared pro se. For Respondents: Etta M. Gumbs, Esq., Salomon Smith Barney, Inc., Office of the General Counsel, New York, NY. CASE INFORMATION Statement of Claim filed on or about April 5, 1999. Claimant signed the

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sid Kotha, (Claimant) vs. Discover Brokerage, (Respondent). Case Number: 99-01579 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Sid Kotha, hereinafter referred to as "Claimant": William S. Shepherd, Esq., William S. Shepherd & Associates, PC, Houston, Texas. Respondent, Discover Brokerage, hereinafter referred to as "Respondent": Robert T. Sullwood, Esq., Sullwo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01578 First Institutional Securities, LLC f claimant vs. Richard Policastro, respondent. ATTORNEYS: Claimant, First Institutional Securities, LLC ("claimant"), appeared through its General Counsel Robert M. Axelrod, Esq., West Paterson, NJ. Respondent, Richard Policastro ("respondent"), appeared Pro Se., Westfield, NJ. DATE FILED: 04/05/99 CASE SUM