N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 04562 Marvin Koss, claimant vs. Bernard McEneaney and Commonwealth Equity Services, respondents. ATTORNEYS: Claimant appeared Pro Se. - Marstons Mills, MA. For respondents appeared - John Vinagre, Esq., Waltham, MA. DATE FILED: 9/16/97 CASE SUMMARY: Claimant alleged broker bought wrong corporate bond despite instructions. Claim Data Award Data Claim: $1,292.50 Award: $.00 Filing Fees: $00.00 Filing

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04561 Judith and Dominick Zicolello, claimants vs. Anthony Altieri and Dreyfus Service Corp., respondents. ATTORNEYS: For Claimants appeared Sherrie Evans, Esq. - Boca Raton, FL. For Respondent Dreyfus Service Corp. appeared Corey S. Marell, Esq. - New York, NY. Respondent Anthony Altieri appeared pro se - Boca Raton - FL. DATE FILED: 9/16/97 CASE SUMM

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Stanley and Barbara Grandon, The Grandon Family Irrevocable Trust (Michael Cafferty, Trustee), Jeremy Grandon, Peter Grandon, and Jonathon Grandon, Claimants, v. No. 97-04557 Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. REPRESENTATION OF PARTIES Claimants Stanley and Barbara Grandon, The Grandon Family Irrevocable Trust (Michael Cafferty, Trustee

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants Khosrow Shahroozi, Jilia Shahroozi, and Fanny, Inc. v. Name of Respondent Olde Discount Corporation Arbitration No. 97-04556 For Claimants: For Respondent: REPRESENTATION Paul W. Thomas, Esq. Law Offices of Paul W. Thomas Carlsbad, California Gilbert R. Scrota, Esq. Howard, Rice, Nemerovski, Canady, Falk, and Rabkin, P.C.

Award NASD Dispute Resolution, Inc- In the Matter of the Arbitration Between: Apex Funding Corporation, (Claimant) v. Tasin & Company, Inc. (Respondent). Case Number: 00-02264 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Apex Funding Corporation ("Apex Funding"): Russell D. Weaver, Esq. Attorney at Law: The Woodlands, Texas. Respondent Tasin & Company, Inc. ("Tasin"): Salvatore Sapienza of Tasin & Company, Inc., Hauppauge, New

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Renee T. Cecala Case No. 97-04551 Names of Respondents NationsBank Capital Markets, Inc. NationsBank Corporation REPRESENTATION OF PARTIES For Claimant Renee T. Cecala, hereinafter referred to as "Claimant": David B, Newman, Esq./ Cooperman Levitt Winikoff Lester & Newman, P.C., New York, New York and James A. Batson, Esq. of Liddle & Robinson, L.L.P., New York, New York. (

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant" Cherie M. DiSalvo v. Arbitration No. 97-04550 Name of Respondent Vemon Brown, and The Boston Group, L.P. REPRESENTATION For Claimant: Peter N. Scolney, Esq. Weiss. Scolney, Spees, Danker, and Kop Los Angeles, California For Respondents The Boston Group, L.P. and Eric S. Hutner, Esq. Vernon Brown: The Boston Group, L.P. New York, New Yor

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Miller, Johnson & Kuehn, Incorporated and 97-04547 Name of Respondent Charles Bridel a/k/a Ronald Charles Bridle REPRESENTATION OF PARTIES Miller, Johnson & Kuehn, Incorporated ("Claimant") was represented by Philip T. Colton, Esq., Maun & Simon, PLC, Minneapolis, Minnesota. Charles Bridel a/k/a Ronald Charles Bridle ("Respondent") did not appear at the hearing

' DEC.29,1999 12=30PM NftSD REGULATION PL ^ , oc ' irU. IBS P. IB AWARD NASD Regulation, Inc. ID the Matter of the Arbitration Between Name of Claimant Victor H. Appleby NASD CASE NO. 97-04546 nf Respondents Westfield Financial Corp,, James E. Cohen, Ed McCrann, and Patricia A. Cohen REPRESENTATION For Claimant: John P. Cole, Esq. and Chanley T. Howell, Esq. of Foley & Lardncr, Jacksonville, Florida. Responden

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Donna Thomas and Kenneth Thomas, Claimants v Bear Steams & Co., Inc., Andrew Haas and David Justman, Respondents. Case Number: 97-04544 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Donna Thomas: For Claimant Kenneth Thomas; For Respondents Bear Steams & Co., Inc., Andrew Haas, and David Justman: Ronald A. Marron, Esq. Law Offices of