AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Stacy Fornara and 97-04323 Name of Respondents The Boston Group, Thomas Leahy, Robert Diminico, Scott Mathis, Michael Bertel, and National Financial Services Corp. REPRESENTATION OF PARTIES Stacy Fomara ("Claimant") was represented by Thomas J. Hanrahan, Esq,, of Glen Rock, New Jersey. The Boston Group ("BG"), Thomas Leahy ("Leahy"), Rob

OJG.10.1998 9=29ftM NRSD REGULfiTION FL N0.990 P.5 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edith D, Doyle 97-04322 Name of Respondent Josephthal Lyon & Ross, Inc. REPRESENTATION For Claimant: Neal J. Blaher, Esq. of The Law Offices of Neal J, Blaher, Orlando, Florida. For Respondent: John E. Bersin, Esq. of Josephthal Lyon & Ross, Inc., New York, New York.

N.A.S.D. REGULATION, INC. AWARD CASE: 97-04321 Annella F. Wells, claimant vs. Comprehensive Capital Coiporation and Patrick Imus , respondents. ATTORNEYS: Claimant appeared Pro Se. - Littleton, CO. For respondent Comprehensive Capital Corporation appeared Olga Scoppa, - Westbury, NY. Respondent Patrick Imus did not appear. DATE FILED: 9/3/97 CASE SUMMARY: Claimant alleged unsuitability, misrepresentation and failure to supervise, Claim Data Awar

Award , NA$D Regulation, Inc. In the Matter of the Arbitration Between: Andrew Kotakis, (Claimant) vs. Gruntal & Co., L.L.C., Robert Rittereiser, Kennedy, Cabot & Co., David Gebbia, John Gebbia, Ron Roberts, George Kupper, Mimi Parks, Steve Edman, Loren Brummett, Kenneth Williams and Gregory Siemens, (Respondents). Case Number: 97-04319 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Andrew Kotakis hereinafter referred to as "Claimant

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Salvator J. Fiorenzi 97-04315 Name of Respondent Summit Discount Brokerage REPRESENTATION Claimant Salvator J. Fiorenzi ("Claimant") appeared pro se. For Respondent Summit Discount Brokerage ("Respondent") appeared Gerard Hallman in-house representative, located in Lehigh Valley, Pennsylvania. CASE INFORMATION Claimant's Statement of Claim was filed

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Darrell Edwards v. Name of Respondent Marsh Block & Co.. Inc.. Kevin Mahon. and First Montauk Securities Corporation Arbitration No. 97-04304 REPRESENTATION For Claimant: For Respondent Marsh Block & Co.. Inc, For Respondent Kevin Mahon: James F. Clapp, Esq. Dostart Clapp Sterrett & Coveney, LLP San Diego. California No Appea

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04301 Alice Liberson, claimant vs. Charles Schwab, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Newton, MA. For Respondent appeared Steve Murphy - San Francisco, CA. DATE FILED: 9/2/97 CASE SUMMARY: Claimant alleged purchase of common stock without permission. Claim Data Award Data Claim: $1,162.00 Award: S446.00 Punitive: $.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Lorraine M. Rose vs. 97-04300 Name of Respondents Wheat First Securities, Inc. William Dahm Edward R. Plachter, Jr. Michael Boland REPRESENTATION Claimant Lorraine M. Rose ("Claimant") was represented by Richard E. Miller, Esq. and Ethan S. Fellheimer, Esq., Fellheimer Braverman & Kaskey, Philadelphia, Pennsylvania. Respondents Wheat First Secur

,MflY.18,1993 ll=21fiM NflSD REGULflTION PL NO.579 P.4 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Tony McCutchen Donna McCutchen T & T Samples 97-04297 Name_of Respondent Joseph- Dillon & Co., Inc. REPRESENTATION For Claimants: Delmer C Gowing ffl, Esq. of Delray Beach, Florida. For Respondent; Chase A. Caro, Esq. and Eva M. Possavino, Esq, of the law

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Paul A. Beljan Case No. 00-02193 Charles Schwab & Company, Inc. Hearing .Site: Philadelphia, PA Claimant, Paul A. Beljan, hereinafter referred to as "Claimant" represented himself during the proceedings. Respondent, Charles Schwab & Company, Inc., hereinafter referred to as "Respondent": Brandon K. Hemley, Esq., Charles Schwab & Company, Inc., San Francisco, CA. CAS