AWARD NASD Regulation, Inc. CASE: 99-00298 Joyce E. Stites, claimant vs. Mason Hill & Co., Inc, respondent. ATTORNEYS: Claimant appeared Pro Se. - Westport, CT. Respondent appeared through its President/CEO, James Staff - New York, NY. DATE FILED: January 22, 1999 CASE SUMMARY: Claimant alleged gross negligence; unsuitability; misrepresentation; failure to disclose risks; excessive mark ups and commissions; manipulative, deceptive and fraudulent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey E. Brandlin and Karen B. Brandlin, Claimants v. Bear Stearns & Co., Inc., Craig Laucks and James Lawrence ("Larry") Mills, Respondents Case Number: 00-03279 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Stephen Young, Esq. Todd Adkins, Esq.

AWARD NASD Regulation, Inc. CASE: 99-00297 Nat Palaniappan, claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS; Claimant appeared Pro Se - Scottsdale, AZ. For Respondent appeared Richelle S. Kennedy, Esq., of the firm, Bingham Dana, LLP, Boston, MA. DATE FILED: January 22, 1999 CASE SUMMARY: Claimant alleged respondent improperly executed a purchase order for shares of JASMINE stock. ARBITRATOR'S REPORT: There is no eviden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jayendra D. Patel, MD, Minakshi J. Patel, MD, Patel, MD, P.A. Employees MMPP and Patel & Patel, MD, Profit Sharing Plan (Claimants) v. Everen Securities, Inc., (a.k.a.Kemper Securities), Morgan Stanley Dean Witter Reynolds, Inc., and Har Gouri Pathak (Respondents) Case Number: 99-00292 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Jayendra D. Patel,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph Shleifstein, (Claimant) vs. Quick & Reilly, Inc., (Respondent) Case Number: 99-00285 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Joseph Shleifstein ("Claimant") appeared pro se. Respondent Quick & Reilly, Inc., hereinafter referred to as ("Respondent"): Douglas S. Flaherty, Esq., Assistant Vice President, Quick & Reilly, New York, New York. CASE INFO

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael J. Monaghan and Joan P. Monaghan, (Claimants) vs. Gilford Securities, Inc., David Abraham Schuster, Joseph Stevens & Co., Inc., and Robert Paul Petrozzo, (Respondents) Case Number: 99-00283 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Michael J. Monaghan ("M. Monaghan") and Joan P. Monaghan ( M J. Monaghan"), hereinafter collectively re

AWARD NASD Regulation, Inc. CASE: 99-00280 Charles Schwab & Co., Inc., claimant vs. Hilda M. Adriasola and Michael Malki, respondents. ATTORNEYS: For Claimant appeared in-house counsel, Devin A. Donohue, Esq., San Francisco, CA. Respondent Hilda M. Adriasola appeared Pro Se, San Francisco, CA. Respondent Michael Malki appeared Pro Se, Pleasanton, CA. DATE FILED: January 21, 1999 CASE SUMMARY: Claimant alleged respondents failed to satisfy maintenanc

Aware NASD Regulat In the Matter of the Arbitration Between: Elinor A. Conroy, Claimant v. Charles Schwab & Case Number: 99-00277 >n. Inc. o., Inc., Respondent. fearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent: Elinor A. Conroy In Pro Per Aliso Viejo, California Gregory Scanlon, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFOR1VLATION Statement of

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Alfred and Deborah Lipshultz Case No. 99-00276 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Guy James Abbanat REPRESENTATION OF PARTIES For Claimants Alfred and Deborah Lipshultz, hereinafter referred to as "Claimants": Russell L. Forkey, Esq. of Russell L. Forkey, P.A., Fort Lauderdale, Florida. For Respondents Merrill Lynch, Pier

AWARD NASD REGULATION, INC. CASE:99-00266 - Walnut Street Securities, Inc., Claimant vs. Charles Wole Alimi, Respondent. ATTORNEYS: For Claimant Walnut Street Securities, Inc. ("WSS"): Albert S, Watkins, Esq. of Kodner, Watkms, Muchnick & Dunne, L.C., St. Louis, MS, Respondent Charles Wole Alimi ("Alimi") appeared pro se. DATE FILED: January 20, 1999. CASE SUMMARY: WSS alleged the following: in March of 1998, Alimi became affiliated with WSS; th