AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Mark H. Hyman v. Arbitration No. 98-01279 Name of Respondent The Boston Group, L.P., Curtiss B. Parker, Robert DiMinico, Kye Hellmers, Joseph Donohue, Jr., Michael Allocca, Jr., John Robert Brady, Philip Edward Steele, Kevin Erick Scannell, Clifford Frederick Mastricola, Scott Lee Mathis, and Bonnie Briggs Rich REPRESENTATION For Claimant: J

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ziskin Family Trust, Paul Ziskin, TTEE, Guy H. Wharton, Andrew W. Wertz, MD Inc. Profit Sharing Plan, Andrew W. Wertz, MD Keough, Andrew W. Wertz, MD Money Purchase Plan (Claimants) vs. Monterey Bay Securities, Inc., Kenneth Doolittle, Thomas Marsella, Robert Blanchard, (Respondents) Monterey Bay Securities, Inc. (Cross-Claimant) vs. Thomas Marsella (Cross-Respondent) Thomas Marsella

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Southeastern California Association of Seventh-Day Adventists, Trustee v. Name of Respondents Hagerty, Stewart & Associates, Inc., Bar-rick A. Smart, and Gregory Wallace v. Name of Third-Party Respondent Harley A. Boehm, Administrator of the Estate of Charlotte Augusta Boehm, Decedent Arbitration No. 98-01274 REPRESENTATION For Claim

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Earl Trevithick and Pamela K. Trevithick and 98-01272 Name of Respondent VTR Capital, Inc. n/k/a Fairchild Financial Group, Inc. Lorette Dawn Farris REPRESENTATION OF PARTIES Earl Trevithick and Pamela K. Trevithick ("Claimants") were represented by Jeffrey J. Scott, Esq., Scott & Associates, P.C., Denver, Colorado. VTR Capital, Inc. n/k/a Fairchild Fi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Broker Dealer Financial Services Corp. and 98-01271 Name of Respondent John Irving Priscella REPRESENTATION OF PARTIES Broker Dealer Financial Services Corp. ("Claimant") was represented by David W. Dunn, Esq., David W. Dunn Law Firm, PLC, Eldora, Iowa and Jeffrey D. Hedlund, Esq., Faegre & Benson LLP, Minneapolis, Minnesota. _/ . ^. John Irving Priscel

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Broker Dealer Financial Services Corp., (Claimant) vs. Charles Bridel a/k/a/ Ronald Charles Bridle, (Respondent). Case Number: 98-01270 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Broker Dealer Financial Services Corp., hereinafter referred to as "Claimant": David W. Dunn, Esq., David W. Dunn Law Firm, PLC, Eldora, Illinois. Respondent, Charles Bridel a/k/

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01266 Olde Discount Corporation, claimant vs. Tai Pack, aka Marcus Bek, respondent. ATTORNEYS: For claimant appeared Matthew J. Boitos, Esq., - Detroit, MI. Respondent did not appeared. DATE FILED: 4/6/98 CASE SUMMARY: Claimant alleged respondent failed to pay for trades. Claim Data Award Data Claim: $5,172.18 Award: $5,172.18 Interest: $1,757.20 Interest: 864.74 Atty Fees: $1,656^25 Atty Fees: $906

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kevin P Macken and 00-02978 Minneapolis, Minnesota Name of Respondents Recom Securities, Inc. William R Kleckner REPRESENTATION OF PARTIES Kevin P. Macken ("Claimant") was represented by Nathan P. Brenna, Esq., Fruth & Anthony, Minneapolis, Minnesota. Recom Securities, Inc. ("Respondent Recom") and William R. Kleckner ("Respondent Kleckner")

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between i i Name of Claimant Bruce Makowsky vs. Case No. 98-01262 Name of Respondents Blue Stone Capital Fanners, L.P. Jonathan Schwartz REPRESENTATION For Claimant Bruce Makowsky ("Claimant") appeared Jonathon D. Warner, Esq.. of the law offices Warner & Joselson, located in New York, New York. For Respondent Blue Stone Capital Partners, L.P. ("Blue Stone") appeared Da

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Julie Tang and Hau Yu Chen, (Claimants) vs. Yue Chen and Perpetual Securities, Inc. (Respondents) Case Number: 98-01260 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Julie Tang ("Ms. Tang"), appeared pro se. Previously represented by Raymond H. Wong, Esq., Law Offices of Raymond H. Wong, P.C., New York, NY. Claimant, Hau Yu Chen ("H. Chen"), did not