NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Edward Meyer 97-02917 Name of Respondent Thomas Edgemont REPRESENTATION For Claimant Edward Meyer ("Claimant") appeared Nicholas G. Papastravros, Esq. and Steven Fuller, Esq., of the law firm Peabody & Brown located in Boston, Massachusetts. Respondent Thomas Edgemont ("Respondent") did not enter an appearance in this matter. CASE INFORMATION Claimant's

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. i i CASE: 97-02913 Timothy L Reynolds, claimant vs. The Boston Group, L.P. and Shamus Group, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, New York, NY. For Respondent The Boston Group, L.P., appeared in-house counsel, Eric S. Hutner, Esq., New York, NY. For Respondent Shamus Group, Inc., appeared Scott L. Silver, Esq., of the firm, Gusrae, Kaplan

AWARD NA$D Regulation, Inc. In the Matter of the Arbitration Between ESM Computer Marketing, Inc. Pension Plan and ESM Computer Marketing, Inc. Profit Sharing Plan, Claimants. v. Case Number 97-02910 The Harriman Group, Inc., Stephen C. Palumbo and Shane Ferras, Respondents. REPRESENTATION OF PARTIES ESM Computer Marketing, Inc. Pension Plan and ESM Computer Marketing, Inc. Profit Sharing Plan (hereafter collectively referred to as "

AWARD NASDREGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Jeffrey Mark Blue v. Name of Respondents The Boston Group and Richard Baer Arbitration No. 97-02909 For Claimant: For Respondents: Statement of Claim filed: REPRESENTATION Lee D. Lubin, Esq. Law Offices of Lee D. Lubin, Esq. Van Nuys, California Eric S, Hutner, Esq. The Boston Group New York,

NASD Regulation, Inc., Award In the Matter of Arbitration Between "Z" Enterprises,. LTD Claimant, and No, 97-02908 Merrill Lynch Pierce Fenner & Smith, Inc.. and Alfonso Lopez-Yanez, Respondents. REPRESENTATION OF PARTIES Claimant, "Z" Enterprises ("Z") was represented by Nathan Allen, Jr., Esquire of Jones, Allen & Fuquay, L.L.P. located in Dallas, Texas. Respondents, Merrill Lynch Pierce Fenner & Smith, Inc., ("Merrill Lynch") and Alfonso

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Name of Claimant Harvey Kershman Case No. 97-02904 vs. Hearing Site: Baltimore, MD Name of Respondents Smith Barney, Inc. (n/k/a Salomon Smith Barney, Inc.) Kenneth D. Blumberg REPRESENTATION OF PARTIES Claimant Harvey Kershman ("Claimant") was represented by Brian C, Parker, Esq. of the law firm of Gebhardt & Smith, LLP, Baltimore, MD. Respondents Smith Barney, In

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant David P. Leib 97-02900 Name of Respondents David M. Ditosti The Harriman Group, Inc. REPRESENTATION Claimant David P. Leib ("Leib") appeared pro se. For Respondent David M. Ditosti ("Ditosti") appeared Jonathon D. Warner, Esq. of the law firm Warner & Joselson located in New York, New York. Respondent The Harriman Group, Inc.("Harriman Group") did n

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Peter M. Beckerman 97-02899 Name of Respondents Fidelity Investments Institutional Services Fidelity Investments Life Insurance Co. REPRESENTATION Claimant Peter M. Beckerman ("Beckerman") appeared pro se. For Respondents Fidelity Investments Institutional Services and Fidelity Investments Life Insurance Co. (together "Fidelity") appeared T. Christopher

N0.684 P . 4g AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Scott Qrth 97-02898 Names of Respondents Josephthal Lyon & Ross, Incorporated Warren Spivak REPRESENTATION For Claimant: Russell L. Forkey, Esq. of Russell L, Forkey, P.A., Fort Lauderdale, FL, For Respondents JoBephthal Lyon & Ross, Incorporated ("JosephthaT) and Warren Spivak ("Spivak"): John E, Bersin, Esq., Associate Ge

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Robert and Beth Carlson 97-02893 Names of Respondents First Security Investments, Inc. Donald O'Shea Bear Stearns Securities Corp. Third Party Respondent Stephen C. Bauer REPRESENTATION For Claimants Robert and Beth Carlson ("Carlson"): Arnold Y. Steinberg, Esq. of Investors' Rights, Inc., Fort Lauderdale, Florida. For Respondents First Se