N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00750 Samuel P. Hinson, Sr. and Vera D. Hinson, claimants vs. Wall Street Access, respondent. ATTORNEYS: Claimant Samuel P. Hinson and Vera D. Hinson ("Claimants"), appeared Pro Se., Petersburg, VA. For Respondent Wall Street Access ("Respondent"), Joseph A. Mendola, Vice President of Compliance for Wall Street Access, New York, NY. DATE FILED: February 19

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Hugh J. p'Donnell, Claimant vs. Fairchild Financial Group, Inc., and Bradley St. Myer, Respondents. Case Number: 99-00749 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant, Hugh J. O'Donnell, "O'Donnell", hereinafter referred to as "Claimant", represented himself. Respondent, Fairchild Financial Group, Inc., "Fairchild", was originally represented by Cl

AWARD NASD Regulation, Inc. CASE: 99-00748 Moses J. Yogaraj, claimant vs. Ameritrade, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se- Adelphi, MD. For Respondent appeared James A. Ricketts- Bellevue, NE. DATE FILED: February 19, 1999 CASE SUMMARY: Claimant alleged Respondent failed to execute a buy order which resulted in claimant having to pay a higher price. Claim Data Award Data Claim: $1,400.00 Award: S.OO Punitive: Unspecifi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES CASE: 99-00747 Fidelity Brokerage Services, Inc., claimant vs. Robert Duquette, respondent. ATTORNEYS: For Claimant Fidelity Brokerage Services, Inc., ("Claimant"), Laurence K. Richmond, Esq. of the Firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent, Robert Duquette, did not respond to Claimant's Statement of Claim. DATE FILED: February 19, 1999 CASE SUMMARY: Claimant all

Award NASD Regulation, Inc. In the Matter jof the Arbitration Between Abraham Beeij (Claimant) vs. Prudential Securities, Inc. and Anthony C. DeVivio (Respondents) Case Number! 99-00745 Hearing Site: New York, New York I REPRESENTATION OF PARTIES Claimant, Abraham Beer, hereinafter referred to as "Claimant": pro se, Brooklyn, New York. Respondents, prudential Securities, Inc. ("Prudential") and Anthony DeVivio ("DeVivio"), hereinafter collectively refer

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Fox Faihily Trust, Claimant v. Everen Securities and Dorothy Peisner, Respondents. Case Number: 99-00735 Hearing Site: Los Angeles, California For Claimant: For Respondents: REPRESENTATION OF PARTIES Jonathan W. Evans, Esq. Law Offices of Jonathan W. Evans & Associates Los Angeles, California Jon L. Rewinski, Esq. Heller, Ehrman, White, & McAuliffe Los Ange

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03335 PaineWebber Incorporated, claimant vs. John Demer, respondent. ATTORNEYS: For Claimant, PaineWebber Incorporated, ("Claimant"), appeared Lisa A. Catalano, Esq., of the Law Offices of Joel E. Davidson, Park Ridge, NJ. Respondent, John Demer, ("Respondent"), appeared Pro Se, West Palm Beach, FL. DATE FILED: August 4, 2000 CASE SUMMARY: Claimant alleged that Respondent breached

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Nam Hoon IKang and Jung Sun Kang, Claimants v. Hanmi Securities, Inc., and Chan Kang, Respondents Case Number: 99-00733 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents Hanmi Securities, Inc., and Chan Kang: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California Christopher J. Kondon, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Opal W. Nelson Case No. 99-00732 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Opal W. Nelson ("Nelson"), hereinafter referred to as "Claimant": Pat Huddleston,'ill, Esq. of the law firm of Dawson & Huddleston, Atlanta, Georgia from October 27, $99 iftitii his withdrawal on January 26, 2000. Thereafter,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-00719 Cecil D, Dooling and Suzanne Ferretti, claimants vs. Randy Friedlander and Dean Witter Reynolds Inc., respondents. ATTORNEYS: Claimants appeared Pro Se, North Lauderdale, FL. For Respondents appeared Jon Jacobson, Esq. of the firm Steel, Hector & Davis LLP, West Palm Beach, FL. DATE FILED: February 17, 1999 CASE SUMMARY: Claimant alleged that respondents recommended secur