Arbitration No. 97-04232 AWARD NASD REGULATION, INC. . In. the matter of the Arbitration Between Name of Claimant (s) K. Gregg Williams Name of Respondentfs) Gary Ferone REPRESENTATION For Claimant: Roy G. Haslam, Esq. and Erik A. Christiansen, Esq., Parsons Behle & Latimer, Salt Lake City, Utah For Respondent Gary Ferone: Gary Ferone, Eastchester, New York CASE INFORMATION Statement of Claim filed: September 11, 1997 Claiman

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Malcolm Dow Case No. vs. 97-04231 Name of Respond*" -its Bear Stearns & Company Edwin Leslie Lawrence, Jr. Salvador Tacher Joel M. Grant Marc A. Luxenberg William J. Velanis REPRESENTATION For Claimant Malcolm Dow, ("Claimant"), J- Daniel Hoffman, Esq., of the law firm of Sherman & Sandy located in Waterville, Maine. For Respondent

5.199S 9:41flM NflSD REGULflTIQN PL NO.592 P.41 N,A,S.D, REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In rhe Matter of the Arbitration Between Name of Claimant William J. Morton 97-04226 Names ot^espondents D.H. Blair & Company, Inc. William Abbate Vlto Rocco Capotarto William Bernard Badinelli, Jr. Stephen Arthur Sherman Kenton Wood REPRESENTATION For Claimant: Edward J. Dovin, Esq. of the law fi

KtLbUUH I 1UN PL P. 28 ASSOCIATION OF SECURITIES CASS «O: 97-0431* IN THE MWTJ'ER OF THE WtBITFATJQH Claimant, va. SECURITIBS, INC,, LANKY LEFP and JOHS PAVLUS, Respondent*. XT IS U&R£BY STIPULATED MflD AGREED by and b*>,tw*ftti «Hine*l for under»igTi*d pirtiee chat any »ni all cl*i«a asac^ta LEFF in this artitration are hereby withdrawn With LANKY LEF? dl»ri»»sd for the ebcrvt re£*re&c«d ictlon; IT 13 rURTRER STIPULATED AMD ACKt

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Max B. Lemley and John F. Lemley Claimants, and No. 97-04213 Donald A. Morrison, III and Traub and Company, Inc. Respondent. REPRESENTATION OF PARTIES Claimants, Max B. Lemley and John F. Lemley. ("Claimants"), was represented by Jeffrey L. Carmichael, Esquire of Leagre, Chandler & Millard located in Indianapolis, Indiana. Respondents, Donald A. Morrison, III and Traub

Award NASD Regulation, Inc. In the Matter of Arbitration Between CHANDLER McMILLIN, Trustee of Chandler McMillin Trust U/A/D 9-7-84, and DONNA J. McMILLIN, Trustee of Donna J. McMillin Trust U/A/D 5-18-82, Claimants, and No. 97-04212 OLDE DISCOUNT CORPORATION, and TODD A. BUKATY, Respondents. REPRESENTATION OF PARTIES Claimants Chandler McMillin and Donna J. McMillin were represented by Frank B.W. McCollum, Esq. of Holman, McMoll

,JUN. 9.1998 9:31F)M NftSD REGULATION FL NO.97? P.14 N,A,S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Douglas and Deborah. Tinuns, JTWROS NASD CASE NO. 97-04211 Name of Respondents John Bruzzese, David Paul Melillo and Euro-Atlantic Securities, Inc. REPRESENTATION For Claimants: Douglas Timms appeared pro se. Respondents Euro-Atlantic Securities, Inc. ("Euro-

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Ronald Hilton, Michael Cavalier, and R.H. Construction. Inc. v. Name of Respondents Rudy Commans and Prudential Securities- Inc. Arbitration No. 97-04209 For Claimants: For Respondents: For Respondent Rudy Commans: REPRESENTATION Dennis Villavicencio, Esq. Allen and Villavicencio, L.L.P. Carlsbad, California William M Cassar

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Anne Mitchell v. Arbitration No. 97-04207 Name of Respondentfs) Merrill Lynch, Pierce, Fenner & Smith.; Ronald San Chirico; Richard Johnson REPRESENTATION For Claimant: Brett A. Alcala, Esq. Birnbaum, Umeda, Alcala & Alper LLP Redwood City, California For Merrill Lynch and Richard Johnson: Philip A. McLeod, E

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert Hwang vs. Case No. 97-04197 Name of Respondents OLDE Discount Corporation Daniel O'Dell REPRESENTATION For Claimant Robert Hwang ("Claimant") appeared Dan E, Druz, Esq., a solo practitioner located in Manasquan, .New Jersey. For Respondents OLDE Discount' Corporation ("OLDE") and Daniel O'Dell ("O'Dell") (collectively "Respondents") appea