NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Leonard Silesky and 97-04729 (cons with 97-04730 and 97-05138) Name of Claimant William Cohn and 97-04730 (cons with 97-04729 and 97-05138) Name of Claimant Kathi Marks and 97-05138 (cons with 97-04730 and 97-04730) Name of Respondents Summit Investment Corporation, n/k/a Dougherty Summi

Arbitration No. 97-04727 AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Betty Jean Trask Name of Respondentfs) Prudential Securities Incorporated Shawn M. Smith James G. Osborne REPRESENTATION For Claimant: Robert W. Palmer, Esq., Lindsay, Hart, Neil & Weigler, LLP, Portland, Oregon For Respondents: Steven L. Raimer, Esq., Prudential Securities Incorporated, New York, New York CAS

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Leon P. McGroarty v. Name of Respondents Jeffrey Rosenstein, RonBarhorst, Louis Fiorini, Benefits Company of America, Aetna Investment Services, Inc., Aetna Life Insurance and Annuity Company, and Aetna Life Insurance Company Arbitration No. 97-04721 REPRESENTATION For Claimant: For Respondents Jeffr

NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert F. Haase and 97-04720 Name of Respondent Maidstone Financial, Inc. REPRESENTATION OF PARTIES Robert F. Haase ("Claimant") was represented by James A. Halpin, Esq., Boulder, Colorado. Maidstone Financial, Inc. ("Respondent") was represented by Marc T. Koppell, Maidstone Financial, Inc., New York, New

05/25/2801 15:41 5614177994 NASDDR PAGE 01/64 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names oi Claimants Mark J. and C enise T. Boudreaux 97-04710 Names of Respondents A.S. Goldmen & Company, Inc. Charles Trento Charles Pipia Michael Dictz Shawn Smith REPRESENTATION For Claimants: Keith Friley, Esq.; Baton Rouge, Louisiana. For Respondeni s Shawn Smith ("Smith"), Charles Trcnto ("Trento") and Char

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Ash win Kumar Name of Claimant vs. Case No. 97-04697 Credit Suisse First Boston Corporation Name of Respondent REPRESENTATION For Ashwin Kumar ("Claimant") appeared Alison Van Horn, Esq., of the law offices Morvillo, Abramowitz, Grand, lason & Silberberg located in New York, New York. For Credit Suisse First Boston Corporation ("Respondent") appeared Alan S. Goudiss, Es

' f - PiPR.£1.1998" 9:30AM NflSD REGULflTION PL M0.5B8 P.21 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant Wall Street Access Case No, 97-04696 Name of Respondent Andy Tivoli REPRESENTATION OF PARTIES For Claimant: Joseph Mendola, Esq., of Wall Street Access ("WSA"), New York, NY. Respondent Andrew Tivoli did not appear or have counsel enter an appearance on hi

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants William R. and Lora L. Glendinning v. Name of Respondent BA Investment Services, Inc. Arbitration No. 97-04692 For Claimants: For Respondent: Statement of Claim filed: REPRESENTATION William R, and Lora L. Glendinning In pro per Newport Beach, California Michael B. Tannatt, Esq. General Counsel, Ban

-NOV.24.199ET- 2 : UL flTIOM FL NO.409 p. ? - i'" NASD STIPULATED AWARD NASD Regulation, Inc., Office Dispute Resolution In the Matter of the Arbitration Between Name of Joseph H, Gun, IRA ( i . 97-04688 i Names of Respondents I Mid-Atlantic Securities, Inc. Greg Robbson I James B. Glover, Jr. \ John F. Nash i i . . ! REPRESENTATION I i For Claimant; Robert Wayne Pearce, Esq. of Ler

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary K. Liebschner, (Claimant) vs. Michael Patterson, Inc., Michael Patterson, Dain Rauscher Incorporated, Robert Bales, Quantum Capital Corporation, Thomas Dooley HI, Ernest Dahlen IH, and Adolphus Dubose Jr., (Respondents) Case Number: 00-02283 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Gary K. Liebschner, hereinafter referred to as "Claimant": Earle R. Frost