STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James W. Broyles, (Claimant) V. Duewayne H. "Tag" Holley, Dewayne Cox, David K. Klick, Daytrade, Inc., and 1-800 Daytrade.com, Inc., (Respondents) Case Number. 00-00247 Hearing Site: Dallas. Texas REPRESENTATION OF THE PARTIES Claimant, James W. Broyles (Claimant): Alan J. Hostetter, Esq., and Timothy A. Duffy, Esq., Burleson, Pate & Gibson, L.L.P., Dallas, Texas.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants William C. Kinser, and Mildred R. Kinser, JTWROS and 97-04162 Name of Respondent Kevin JankowsJci REPRESENTATION OF William C. Kinser, and Mildred R. Kinser, JTWROS ("Claimants") appeared on their own behalf. Kevin Jankowski ("Respondent") was represented by James A. Murphy, Esq., LeClair Ryan, P. C., Richmond, Virginia. CASETNFORMATTON Claiman

•*•• I NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert L. Marietta, C&LM, Inc., Fairfax, Inc., Com Co Inc., and Marietta Trust and 97-04161 Name of Respondent A.S. Goldmen & Company, Inc., and Vincent Salino REPRESENTATION OF PARTIES Robert L. Marietta ("Marietta"), C&LM, Inc., ("C&LM"), Fairfax, Inc., ("Fairfax"), Com

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Michael Beam and Susan Beam Case No. 97-04158 Names of Respondents Paine Webber, Inc and Prudential Securities, Inc. REPRESENTATION Claimants. Michael Beam and Susan Beam were represented by Greg Tilton, Esq. of Bell & Henry, LLP located in Houston, Texas. Respondent, Paine Webber, Inc. was represented by Stephani Morse-Shamosh, Esq. Of Paine Webber, Inc.

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Eric H. Winston v. Arbitration No. 97-04154 Name of Respondents Robert A. Diminico The Boston Group REPRESENTATION For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Eric S. Hutner, Esq. The Boston Group, L.P. New York, New York CASE I

I 1 « N.A.S.D. AWARD NATIOxNAL ASSOCUTION OF SECLRITIES DEALERS In the Matter of the .Arbitration Between Name of Claimant Anthony Marino 95-05408 Name of Respondent GKN Securities Corp. In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1995, Claimant Anthony Marino ("Claimant"), alleged that Respondent GKN Securities Corp. ("GKN"), through its representative, John Conroy ("Coiu-oy"), recommende

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Julius Epstein 95-05395 Name of Respondent Smith Bamey, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1995, Claimant Julius Epstein ("Claimant"), who appeared Pro Se, alleged that Respondent Smith Barney, Inc. ("Respondent"), sold him unsuitable stocks which violated

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barry E. Fallis 95-05393 Name of Respondents The Harriman Group, Inc. Joseph J. Tuozzo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1995, Claimant Barry E. Fallis alleged that Rrapondent The Harriman Group, Inc. and Respondent Joseph J. Tuozzo misrepresented the value

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eric Bonaparte 95-05381 Name of Respondents Fidelity Brokerage Services, Inc. Joseph Albert Jaramillo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1995, Claimant Eric Bonaparte ("Claimant"), who appeared Pro Se, alleged that he held account #108-291587 with Respondent

.V.A.S.D. AWARD .NATIO.NAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the .Arbitration Between Name of Claimant Salem Zabib Michaei O'.Shaughnessy Hanover Sterling & Co. Ltd NASD Case No. •^5-05300 For Salem Zabib ("claimant") appeared David Robbins, Esq. of Kaufmann, Feiner, Yamen, Gildin & Robbins, New York, New York. For respondent Michael O'Shaughnessy ("respondent") appeared William M. Moran, Esq. of Bachner, Tally, Polway & M