NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Sylvia Bleiweiss and Martin Bleiweiss vs. • Case No. 98-00903 Name of Respondents The Jeffrey Matthews Financial Group, LLC Darren S. Lehrman REPRESENTATION Claimants Sylvia Bleiweiss ("Bleiweiss") and Martin Bleiweiss (collectively "Claimants") appeared pro se. For Respondents The Jeffrey Matthews Financial Group, LLC ("Jeffrey Matthews") and Darr

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Abdulla Al Shammam 98-00901 Name of Respondent Chase Investment Services Corp. REPRESENTATION Abdulla Al Shammam ("Claimant") appeared pro se. For Chase Investment Services Corp. ("Chase") appeared Ursula D. Clay, Esq. of the firm Brassier, Amery & Ross, located in New York, New York. CASE INFORMATION Claimant filed a Statement of Claim on March 3,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Barbara E. Shrager vs. ' Case No. 98-00900 Names of Respondents Lexington Capital Partners & Co. Inc. Mario Romano REPRESENTATION For Claimant Barbara E. Shrager ("Claimant") appeared Bernard M. Althoff, Esq., of the law offices of Satterlee, Stephens, Burke & Burke, LLP, located in New York, New York. For Respondents Lexington Capital Partners ("Le

N.A.S.D. REGULATION, INC. AWARD CASE: 98 00898 Bill B. & Donna R. Bowles, claimants vs. Nichols, Safina, Lerner & Co., and Robert V. Conti, respondents. ATTORNEYS: Claimant appeared Pro Se. - Brookings, OR. Respondent Robert V. Conti appeared Pro Se. - Bronx, NY. Respondent Nichols, Safina, Lerner & Co. is bankrupt. DATE FILED: 3/6/98 CASE SUMMARY: Claimant alleged unauthorized sale and closing of account, misrepresentation and omissions. Cl

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00892 Rene Reid Yarnell, and Mark B. Yarnell, JT TEN , claimants vs. Quick & Reilly, respondent. ATTORNEYS: Claimants appeared Pro Se. - Reno, NV. For Respondent appeared Douglas S. Flaherty, Esq. DATE FILED:3/6/98 CASE SUMMARY: Claimant alleged error in account and failure to execute stop loss. Claim Data Award Data Claim: $10,000.00 Award: $10,000.00 Interest: $.00 Interest: 10% per annum from 2/13/98

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants) Beth Weinzimmer f/k/a Beth Pielet, as Trustee of The Ruth C. Schwartz Trust 98-00891 Name of Respondents R.D.Kushnir&Co.; Robert Kalman; and Nate Resnick REPRESENTATION For Claimant: Beth Weinzimmer f/k/a Beth Pielet, as Trustee of the Ruth C. Schwartz Trust ("Trust") was represented by Glenn Seiden, Esq. of Glenn Seiden & Associates, P.C., located in

NASD Regulation, Inc. Award/Final Order NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alicia L. Opheim, Ind. And Trustee of the Alicia L. Opheim Trust No. 1 . and 98-00889 Name of Respondents Edward D. Jones & Co., and Steve Harrison REPRESENTATION OFPARTIES Alicia L. Opheim, Ind. and Trustee of the Alicia L. Opheim Trust No. 1 ("Claimant") was represented by Donald E. Je

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Benita Mednick, Benita Mednick Trust, Paula Mednick, John T. Peel, Alison A. Peel, Stuart J. Cohen, and Ruth A. Posvic, Claimants v. Harry R.L. Lucas, Marvin H. Jones, Todd M. Jones, Respondents Case Number: 98-00886 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondent Todd M. Jones: For Respondent Marvin H. Jones and Harry R.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Xavier O. Gracia and 00-02943 Scottsdale, Arizona Name of Respondents Morgan Stanley Dean Witter Inc. Brian Crawford REPRESENTATION OF PARTIES Xavier O. Gracia ("Claimant") was represented by David C. Anson, Esq., Anson Lammers PC, Tucson, Arizona. Morgan Stanley Dean Witter Inc. ("Respondent Morgan Stanley") and Brian Crawford ("Respond

NASD REGULATION, INC. AWARD In the Mailer of the Arbitration Between Name of Claimants Kerry Campbell vs. Case No. 98-00879 Names of Respondents Murphy & Durieu Richard Murphy Richard RicciarcU Thomas McKee For Claimant Kerry Campbell ("Claimant 11 ) appeared Edward H. Glenn. Jr., Esq., of the law firm of Zamanslcy & Associates, located in New York. New York, ' ; For Respondents Murphy & Durieu ("Murphy & Durieu"), Ri