Award NASD Regulation, Inc. In the Matter of the Arbitration Between Stephen Skoly (Claimant) vs. Joseph Dillon & Company, Mark Elliott and J.B. Oxford & Company (Respondents) Case Number: 97-04910 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Stephen Skoly ("Claimant"), Paul V. Curcio, Esq., Adler, Pollock & Sheehan, located in Providence, Rhode Island. Respondent, Joseph Dillon & Company ("Joseph Dillon"), Chase A. Caro,

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Manuel Santayana Case No. vs. 97-04906 Name of Respondent Fidelity Brokerage Services, Inc. Fidelity Investments REPRESENTATION For Claimant Manuel Santayana ("Claimant"), Kevin G. Powers, Esq. located in Boston, Massachusetts. For Respondents Fidelity Brokerage Services, Inc. ("FBSI") and Fidelity Investment ("Fidelity") (collectively "Respondents"

STIPULATED AWARD i i NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Michael Kidd v. Arbitration No, 97^04903 Name of Respondents) M. S. Farrell & Co., Inc. Nils Wilson REPRESENTATION For Claimant: Bruce Safran, Esq. Safran & Godino Tarzana, California For Respondents: Cirino M. Bruno, Esq. Gusrae, Kaplan & Bruno New York, New York CASE INFORMATION

OCT. 5.1998 9:38RM NflSD REGULRTION FL NO.592 p.30 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Andrew Schmer Case No. 97-04902 Name of Respondent PaineWebber, Inc. REPRESENTATION OF PARTIES For Claimant: Eric N. Assouline, Esq. of the law firm of Adorno & Zeder, PA, Miami, Florida. For Respondent PaineWebber, Inc. ("PW): M. Major Khan r Esq. of PaineWebber, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janney Montgomery Scott, Inc., (Claimant) vs. Daniel K. Roh, (Respondent) Case Number: 00-02304 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Janney Montgomery Scott, Inc., hereinafter referred to as "Claimant": Peter C. Kennedy, Esq., Hecker Brown Sherry and Johnson, Philadelphia, PA. Respondent, Daniel K. Ron, hereinafter referred to as "Respondent", a

, Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: BT Brokerage Corporation, (Claimant) vs. Morgan Stanley Dean Witter Co., (Respondent) Case Number: 00-00257 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, BT Brokerage Corporation, hereinafter referred to as "Claimant": Meryl E. Wiener, Esq., Goodwin Proctor LLP, New York, NY (previously with Friedman Siegelbaum LLP, New York, NY. Respondent, Morgan

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Adkins Living Trust, Max E. Adkins and Yvonne A. Adkins, (Claimants) vs. Bear Stearns & Company, Fulton Gregory Cook, Chuck Daggs, III, Morgan Keegan & Company Inc., Robert C. Berry (Respondents). Case Number: 97-04896 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, The Adkins Living Trust, Max E. Adkins and Yvonne A. Adkins, hereinafter (collectively) referre

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Alfred H. Monroe NASD CASE NO. 97-04894 Names of Respondents A.G. Edwards & Sons, Inc. and George Steigner REPRESENTATION For Claimant: Robert Persante, Esq. of Albinson & Persante, P.A., Clearwater, Florida. For Respondents, A.G, Edwards & Sons, Inc. ("Edwards") and George Steigner ("Steigner"): Norman S. Buckvar, Esq., Litigation Counsel for Edwards,

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants John E. Austin, Individually, and John E. Austin, as Executor of the Estate of Aneela Olcott v. Name of Respondents La Jolla Securities Corp., Douglas Bishop, Marc Riviello, Dan Landau, Bruce Biddick, and Tradeways Securities Group, Inc. Arbitration No. 97-04893 For Claimants: For Respondents Tradeways Securities Group, Inc., Marc R

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Israel and Rachel Tenam Israel Tenam, IRA Rachel Tenam, IRA Rachel Tenam, c/f Shayna Tenam 97-04892 Names of Respondents Barren Chase Securities, Inc. Scot Kelley REPRESENTATION For Claimants: Marc J. Gottlieb, Esq. of Akerman, Senterfitt & Eidson, P.A., Fort Lauderdale, Florida. For Respondents: Eugene M. Kennedy, Esq., Fort La