AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(s) Rosemarie Perry Name of Respondentfs) Merrill Lynch, Pierce, Fenner & Smith, Inc Arbitration No. 97-04866 REP RE S ENTATION For Claimant: Harry P. Schnittger, CFP, Honolulu, Hawaii For Respondent: Arthur H. Sobel, Esq., Merrill Lynch, Fierce, Fenner & Smith, Inc., New York, New York CASE INFORMATION Statement of Claim filed: October 2, 1997

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Warren Lee Connita Lau v. Name of Respondent First United Equities Corporation Gaines Berland Bear Stearns Securities Corp. David M. Pesso Richard Rosenstock Mark Zeitchick Joseph Berland Alan Gaines Vincent Mangone Arbitration No. 97-04864 REPRESENTATION For Claimants

NASD Regulation, Inc., Award In the Matter of Arbitration Between Haseen Akhtar, Claimant, and No. 97-04863 E*Trade Securities, Inc., Respondent. REPRESENTATION OF PARTIES Claimant, Haseen Akhtar, ("Akhtar") appeared pro se during these proceedings. Respondent, E*Trade Securities, Inc., ("E*Trade") was represented by Gary Loeb, Esquire of Bird, Marella, Boxer, Wolpert & Matz, of Los Angeles, California. CASE INFORMATION Claimant, Akhtar'

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph E. Colson 97-04859 Name of Respondent Maidstone Financial Inc. REPRESENTATION Claimant Joseph E. Colson ("Claimant") was represented by Scott R, Shepherd, Esq., Greenfield & Rifkin, Ardmore, PA. Respondent Maidstone Financial, Inc. ("Respondent") did not appear. CASE INFORMATION Claimant's Statement of Claim

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Sylvia Zaks, Claimant, v. No. 97-04857 Smith Barney, Inc., and Michael Daniels, Respondents. REPRESENTATION OF PARTIES Claimant Sylvia Zaks ("Claimant") was represented by Michael S. Clawson, Esq. of Hardy, Lewis & Page, P:G. located in Birmingham. Michigan. — Respondents Smith Barney, Inc. and Michael Daniels ("Respondents") were represente

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Leonard Caruso 97-04856 Name of Respondents Smith Barney, Inc., and Marc A. Verga REPRESENTATION For Claimant Leonard Caruso ("Caruso") appeared Herbert P. Phillips, Esq., from the law offices of Phillips, Gerstein, Hobler & Channen, located in Haverhill, Massachusetts. For Respondent Smith Barney, Inc. ("Smith Barney") and Marc A. Verga ("Verga") appea

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas A. Coleman, (Claimant) vs. Robert D. Ross, Anthony DiFuilo, Anthony Tanico, and George DiFuilo, (Respondents) Case Number: 00-02297 Hearing Site:New York, New York REPRESENTATION OF PARTIES Claimant, Thomas A. Coleman, hereinafter referred to as "Claimant": Anthony J. Ferrara, Esq., Polstein, Ferrara, Dwyer & Speed, P.C., New York, NY. Claimant originally appeared pro

NOV.15.1998 8=54PM NflSD REGULRTION FL NO.599 P.19 NASD REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between h Name of Claimant Paul Lobe! Case No. 97-04855 Name Barton Chase Securities, Inc. Name ?f Third Party Respondent Patrick J. Soltis REPRESENTATION For Claimant; Sandra L. Malkin, Esq. and Edward H. Sounders, Esq. of the law firm of Page & Bacek, LLP, Atlanta

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Diana A. Gerometta vs. Case No. 97-04853 Name of Respondent Paine Webber, Inc. REPRESENTATION OF PARTIES Claimant, Diana A. Gerometta, hereinafter referred to as "Claimant": H. Russell Smouse, Esq. and Glenn Mintzer, Esq., Law Offices of Peter G. Angelos, Towson, Maryland. -- Respondent, PaineWebber, hereinafter referred to as "Respondent": Frances M, Malon

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Patrick and Noreen Browne 97-04851 Name of Respondent Datek Securities Corp. REPRESENTATION For Claimants Patrick and Noreen Browne ("Claimants") appeared John J. Phelan, III, Esq., a sole practitioner with offices located in New York, New York. For Respondent Datek Securities Corp. ("Respondent") appeared Brian H. Reis, Esq., of the law offices of Gol