NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Daniel Lamping Arbitration No. 97-04542 Name_-O.f Respondent fs) Randol Bradshaw REPRESENTATION For Claimant: Daniel Lamping, Helena, Montana For Respondent: Joel Held, Esq., Arter & Hadden LLP, Dallas Texas CASE INFORMATION Statement of Claim filed: September 12, 1997 Claimant's Submission Agreements signed: September 11, 1997 and October 7, 1997

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Russell A. Simpson 97-04538 Name of Respondents Bear Stearns & Company Pierre M. Kourani REPRESENTATION For Claimant Russell A. Simpson("Simpson") appeared Bruce E. Falby, Esq., of the law offices of Hill & Barlow located in Boston, Massachusetts. For Respondents Bear Stearns & Company ("Bear Stearns") and Pierre M. Koutani ("Koutani"), collectively

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Oppenheimer & Co., Inc. 97-04537 Name of Respondent/Counter-Claimant John Kinsella REPRESENTATION For Claimant/Counter-Respondent: Oppenheimer & Co., Inc. ("Oppenheimer") was represented by Joseph J. Sullivan, III, Esq., of Oppenheimer & Co., Inc., located in New York, New York.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Anthony A. D'Almeida 97-04536 Names of Respondents Josephthal Lyon & Ross, Inc. H.J. Meyers & Co., Inc. Kodjo Gumekpe Gassou REPRESENTATION For Claimant: Gerald B. Kline, Esq. of the law firm of Sims, Moss, Kline & Davis, LLP, Atlanta, Georgia. For Respondent Josephthal Lyon & Ross, Inc. ("Josephthal"): John E. Bersin, Esq., Associate General Co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02263 David H. Gadbois, claimant vs. Prudential Securities, Inc., Dennis Gitiin and Sandy Steenrod, respondents. ATTORNEYS: For Claimant appeared Melanie S. Pearce, Esq. of the firm Perkins, Smith & Cohen, LLP, Boston, MA. For Respondents appeared in-house counsel Kenneth W. Gerver, New York, NY. DATE FILED: May 30, 2000 CASE SUMMARY: Claimant alleged that respondents executed

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dr. Raymond L. Hassett Names of Respondents Lew Lieberbaum & Co., Inc. George Carlo, Jr. Eric John Weiss Maidstone Financial, Inc. Mark I. Lew Sheldon J. Lieberbaum Marshall Alan Bernstein NASD CASE NO. 97-04535 REPRESENTATION For Claimant: Nicholas D. Thomas, Esq., Raleigh, North Carolina. For Respondents George Carlo, Jr. ("Carlo") and

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04529 Ron Hoffman, claimant vs. Fidelity Brokerage Services, respondent. ATTORNEYS: Claimant appeared Pro Se. - Denver, CO. For Respondent appeared Alicia Reines-Leo, Esq. - Boston, MA DATE FILED: 9/15/97 CASE SUMMARY: Claimant alleged failure to disclose redemption charge at time of purchase; violation of rules about "full and fair disclosure in public ad

N.A.S.D. REGULATION, INC. AWARD CASE: 97-04528 Edward F. Koren, claimant vs. Carl Cirillo, respondent. ATTORNEYS: Claimant appeared Pro Se. - Whitehall, PA. For respondent appeared Ruthann G. Niosi, Esq. - New York, NY. DATE FILED: 9/ 1 5/97 CASE SUMMARY: Claimant alleged misrepresentation in the sale of common stock. Claim Data Award Data Claim: $.00 Award: $2,600.00 Interest: Requested Interest: $.00 Filing Fees: $150.00 Filing Fee

14:30 NASD REGULATION AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Lucille CoUcun Bitter and Victor L. Bitter, and Name of Respondents Clifford C. Vatter 111 and J.C. Bradford & Co. 97-04527 REPRESENTATION OF PARTIES For Claimants, Lucille C. Bitter and Victor L. Bitter: Timothy Denison, Esq, 730 W, Mam Street, Suite 390 Louisville, KY 40202 For Respondents, J.C, Bradford

*OCT.17.1998 5:iSPM INHblJ KLtULH 1 1UTH r L nu.acw r.eti N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark and Patricia Schlundt 97-04522 Names of Respondents Lexington Capital Partners & Co., Inc., fflc/a First Hanover Securities, Inc. and Antony Barbera REPRESENTATION Claimants Mark and Patricia Schlundt appeared pro se. For Responde