NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Brian A. and Martha W. Zuckerman 97-03748 Name of Respondent Prudential Securities Inc. REPRESENTATION For Claimants Brian A. and Martha W. Zuckerman ("Claimants") appeared Ellen M. Randle, Esq., of the law office Bulkley Richardson & Gelinas, LLP, located in Springfield, Massachusetts. For Respondent Prudential Securities Inc. ("Prudential") appeared

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Serafin Garcia Case No. 00-02139 Names of Respondents A.G. Edwards & Sons, Inc. Alfredo Oliva Hearing Site: Boca Raton, Florida For Serafin Garcia ("Garcia"), hereinafter referred to as "Claimant": David R. Chase, Esq. of Sullivan & Rivero, Miami, Florida. For A.G. Edwards & Sons, Inc. ("AGE") and Alfred Oliva ("Oliva"), hereinafter collecti

N.A.S.D. AMENDED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jerry & Ruth Dixon 97-03747 Name of Respondents Euro-Atlantic Securities, Inc. Fred Tuzzolino Louis Catapano REPRESENTATION For Claimants: Randall 0. Reder, Esq., Tampa, FL. For Respondent Euro-Atlantic Securities, Inc. ("Euro"): Mary Lyn Villanueva of Euro-Atlantic Securities, Inc., Boca Raton, FL.

04/27/98 MON 11=10 FAX NASD REGULATION NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between ) David A. Ward, ) STIPULATED AWARD Claimant, . ) Case No. 97-03746 and ) State Street Capital Markets Corporation, ) a.k.a. State Capital Markets Corporation, ) Respondent. REPRESENTATION Claimant; David A, Ward, an attorney authorized to practice in Ohio, represented himself Respondent: State Street

NASD REGULATION. INC. AWARD In the Matfr of the Arbitration Between Name of Claimant Lionel J, Baum 97-03745 Name of Respi r.dents Josephthal Lyon & Ross, Inc. Stephen Nelson Conrad REPRESENTATION For Claimant Lionel J. Baum ("Claimant") appeared Edward Cooperstein, Esq., a sole practitioner with law offices located in Taunton, Massachusetts. For Respondent Josephthal Lyon & Ross, Inc. ("Josephthal") and Stephen Nelson Conrad ("Conra

STIPULATED AWARD NASD Regulation, Inc. In the Matter of .the Arbitration Between Name of Claimant John Kelly Case No. 97-03744 Name of Respondents Investors Associates, Inc. John Storey, Jr. REPRESENTATION John Kelly ("Claimant") was represented by Peter J. Duffy, Attorney at Law, Manchester, New Hampshire. Investors Associates, Inc. ("Investors Associates") was represented by Lawrence R. Gelber, Esq., Attorney at Law, New York,

11 OCT. 5.1998 9:39flM NOSD REGULATION PL NO.592 - P.34 NASD REGULATION, INC. AWARD i - Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael G'Haire Case No. 97-03742 Names of Resoondepts D,H. Blair & Company, Inc, William Abbate REPRESENTATION OF PARTIES Claimant Michael O'Haire, Esq. of the law firm of O'Haire Quinn & Candler, Vero Beach, Florida, appeared pro s_e. For Respondent D.

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of CJaimantfs) Yunhui Liu Name of Respondentfs) Waterhouse Securities, Inc. Arbitration No. 97-03739 REPRESENTATION For Claimant: For Respondent: Yunhui Liu Alamo, California William McGovern, Esq. Waterhouse Securities, Inc. New York, New York CASE INFORMATION Statement of Claim filed: August 25, 1997 Claimant's Submission Agreement sig

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03738 Kamal Aggarwal, claimant vs. Kevin Mahon and Marsh Block & Co., respondents. ATTORNEYS: For Claimant appeared Wesley T. Umeda, Esq., of the firm Birnbaum, Umeda, Alcala & Alper, LLP., Redwood City, CA. Respondent Kevin Mahon did not respond to the Statement of Claim. For Respondent Marsh Block & Co. appeared Peter A. Perlman, Esq., of the firm Beldock,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03736 Gary Bisogna and Maria Cristina Bisogna, claimants vs. D.L. Cromwell Investments Inc., Brad Nirenberg and John Madey, respondents. ATTORNEYS: Claimants appeared Pro Se, Staten Island, NY; Respondent appeared Pro Se, through it's Compliance Officer, Boca Raton, FL. Respondents Brad Nirenberg and John Madey did not respond to Statement of Claim. DATE F