N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00612 Michael £. lindo, claimant vs. Joseph Dillon & Company, Inc., and Tim McKeon, respondents. ATTORNEYS: For Claimant appeared Amy M. Stewart, Esq., of the firm, Morris, Garlove, Waterman & Johnson PLLC., Louisville, KY. For Respondent Joseph Dillon & Company, Inc. appeared Stephanie Rosenblatt, Esq., of the finn Caro & Graifman, P.C., New York, NY. Res

Ajtrtratlort S N.A.S.D. AHARD Natk>nat Association of Securities Deaten. Inc. NancKRL AssodanoN OF SBCCRITIES DEALERS !^.^^,^E'^"^'^*21LS"^^^ o3 Wnrtefiall SQlBei Newrork, N.Y.I0004 In the Matter of the Arbitraticn Between FAX (2T2)85S-*V389 Mame of Claimants Iferrill Lynch, Pierce, Fenner & Smith, Inc., Prudential -Baciie Securities, Inc. (n.Jc.a. Prudential Securities, Inc.) Solnnrai Brothers, Inc. and Pmi th Barney, Harris CI^)iiam & Co.,

Ajtrtratlort S N.A.S.D. AHARD Natk>nat Association of Securities Deaten. Inc. NancKRL AssodanoN OF SBCCRITIES DEALERS !^.^^,^E'^"^'^*21LS"^^^ o3 Wnrtefiall SQlBei Newrork, N.Y.I0004 In the Matter of the Arbitraticn Between FAX (2T2)85S-*V389 Mame of Claimants 2ferrill Lynch, Pierce, Fenner & Smith, Inc., Prudential-Baciie Securities, Inc. (n.Jc.a. Prudential Securities, Inc.) Solnnrai Brothers, Inc. and Pmi th Barney, Harris CI^)ham & Co., I

Ajtrtratlort S N.A.S.D. AHARD Natk>nat Association of Securities Deaten. Inc. NancKRL AssodanoN OF SBCCRITIES DEALERS !^.^^,^E'^"^'^*21LS"^^^ o3 Wnrtefiall SQlBei Newrork, N.Y.I0004 In the Matter of the Arbitraticn Between FAX (2T2)85S-*V389 Mane of Claiinants 2ferrill Lynch, Pierce, Fenner & Smith, Inc., Prudential-Baciie Securities, Inc. (n.Jc.a. Prudential Securities, Inc.) Soloom Brothers, Inc. and Pmi th Barney, Harris CI^)iiam & Co., I

Artsrtratlon S N.A.S.D. AHARD Natk>nat Association of Securities Deaten. Inc. NanCKRL ASSOdATION OF SBCCRTTIES DEALERS i'^.^E'^"^'^^SlLS"^^^ o3 Wnrtefiall SQlBei Newrork, N.Y.I0004 In the Matter of the Arbitracica Between FAX (2T2)85S-*v389 Mane of Claiinant^ Merrill Lyncii, Pierce, Fenner & Smith, Inc., Prudential-Bache Securities, Inc. (n.Jc.a. Prudential Securities, Inc.) Solnnrai Brothers, Inc. and Pmi th Barney, Harris U^)ham & Co., Inc,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC Leon Schwartz Mendel & Etty Strul Helen K. Urban Helena Mitchell Lynde H. & Anthony T. Gaglia William C- Raney David Russell Gloriana V. Urban Claimants PriKi-^nr ia 1 Bache Hecur.i i. i '-.'^. Inc H' i"d Goidbera Mart in Salzman Respondents Gl< 'l i.Bna Urban Third-Party H'^ppr.MKlent AWARD CONSOLIDATED CASES #88-02212; #88-02213 #88-02214; #88-02215 #88-02216

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC Leon Schwartz Mendel & Etty Strul Helen K. Urban Helena Mitchell Lynde H. & Anthony T. Gaglia William C- Raney David Russell Gloriana V. Urban Claimants PriKi-^nr ia 1 Bache Hecur.i i. i '-.'^. Inc H' i"d Goidbera Mart in Salzman Respondents Gl< 'l i.Bna Urban Third-Party H'^ppr.MKlent AWARD CONSOLIDATED CASES #88-02212; #88-02213 #88-02214; #88-02215 #88-02216

NATIONAL ASSOCIATION OF SECURITIES DKALERS, INC Leon Schwartz Mendel & Etty Strul Helen K. Urban Helena Mitchell Lynde H. & Anthony T. Gaglia William C- Raney David Russell Gloriana V. Urban Claimants PriKi-^nr ia 1 Bache Hecor.i i. i '-.'^. Inc J'^art in Salzman Respondents Gl< 'l i.Bna Urban Third-Party H'^pf-cMKlent AWARD CONSOLIDATED CASES #88-02212; #88-02213 #88-02214; #88-02215 #88-02216; #88-02217 #8

NATIONAL ASSOCIATION OF SECURITIES DKALERS, INC Leon Schwartz Mendel & Etty Strul Helen K. Urban Helena Mitchell Lynde H. & Anthony T. Gaglia William C- Raney David Russell Gloriana V. Urban Claimants Pi-iKi-^nr ia 1 Bache Hecur.i i. i '-.'^. Inc J'^art in Salzman Respondents Gl< 'l i.Bna Urban Third-Party H'^pf-cMKlent AWARD CONSOLIDATED CASES #88-02212; #88-02213 #88-02214; #88-02215 #88-02216; #08-02217 #

flPR. 5.1999 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between ; i Names_of r^ Frank K. Russo and Colleen M. Russo NASD CASE NO. 98-00610 Name of Respondetfl - T. Rowe Price Associates, Inc. REPRESENTATION For Claimants: John R. Kiemer, Jr., Esq. and Clifford I. Hunt, Esq. of Riden, Earle & Kiefaer, P. A., St. Petersburg, Florida. For Respondent: Murray B. Silverstein, Esq. and Karen E. Mailer, Esq. of Powell, Carn