AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Ved P. Aggarwal Profit Sharing Plan, Ved P. Aggarwal Money Purchase Pension Plan and Ved P. Aggarwal, M.D, and Names of Respondents Everen Securities, Inc. f/k/a Kemper Securities, Inc. and HarGouriPathak Case Number 97-02255 REPRESENTATION OF PARTEES Ved P, Aggarwal Profit Sharing Plan, Ved P. Aggarwal Money Purchase Pension Plan and Ved P. A

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Joseph Buonomo Case No. 00-01980 Name n First Union Brokerage Services, Inc. James P. Marino Hearing Site: Philadelphia, PA TTniv Claimant, Joseph Buonomo, hereinafter referred to as "Claimant": Anthony J. Horn, Esq., Attorney at Law, New York, NY. Respondents, First Union Brokerage Services, Inc. ("First Union") and James P. Marino

N.A.S.D. REGULATION AWARD DjvU.KRS^ECil.L^TIQN^ INC. CASH: 97-02249 George I.). Sturek. claimant vs. Dennis McDermotL FSG Securities. Inc.. and Brill Securities. Inc.. respondents. ATTORNEYS; Claimant appeared Pro Se. Johnson City, NY. Respondent Dennis McDermott appeared Pro Se, New York. NY. Respondent FSG Securities. Inc. did noi respond 10 ihe Statement of Claim. DATE FILHD: May 5. 1997. CASH SUMMARY: Claimant alleged thai respondents charge

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Edmund B. and Tina Piccolino Name of Respondents Euro-Adamic Securities, Inc. Nick Mormando 97-02248 REPRESENTATION For Claimants Dr. Edmund B. Piccolino and Tina Piccotino ("Claimants"): Dr. Edmund Piccolino. For Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic"): no representative appeared. For Respondent Nick Mormando ("Mormando"): Neither

NASD REGULATION, INC. AWARD In ihe Mailer of the Arbitration Between Name of Claimant Leslie J. Seanga Case No. 97-02247 Names of Respondent Adams, Harkness & Hill, Inc. Matthew Hobhs REPRESENTATION For Claimant Leslie J. Seanga ("Claimant") appeared James P. Duggan, Esq., with law offices located in Boston. Massachusetts. For Respondents Adams. Harkness £ Hill. Inc. ("AH&H") and Matthew Hobbs ("Hobhs"} (collectively referred to as "

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants William B. Wynn, Jr. J. Gordon Bums 97-02245 Name of Respondent NationsSecurities REPRESENTATION For Claimants William B. Wynn, Jr. ("Wynn") and J. Gordon Burns ("Burns"), collectively referred to as "Claimants", appeared James C. Smith, Esq., of the law firm Ray burn Moon & Smith, PA, located in Charlotte, North Carolina. For Respondent NationsSec

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jay A. Steinberg, Not Individually But Only As Chapter 7 Trustee of Ixonard McAbee Claimant and Counter-Respondent, v. No. 98-01941 H.J. Meyers & Co., Inc., Jay Heaton, Jack Bruscianclli, Gregory Wells, Gai7 Liddicoat, Tracy Taylor, Robert Sctteducati, HIM Group, Inc., James C. Witzcl, Michael F. Brown, Respondents James A. Villa, and Rex

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants J. Norman Riley Trust, John N. Riley, Jr., individually; John N. Riley, III; Andrea M. Riley; Mary R. Riley; John N. Riley, Jr., Jessie C. Riley as trustees for Jessie C. Riley; John N. Riley, Jr. and Jessie C. Riley as trustees for J. Norman Riley; John N. Riley; John N. Riley, Jr. as custodian for Adrienne J. Riley; John N. Riley, Jr. as custodian for Marie M. Riley; an

MAY.13.1999 a:33flM " ' NO.973 P.33 AWARD NASD Regulation, Inc. In the Matter of the .\rbitration Between of A.G. Edwards & Sona, Inc. NASD CASE NO. 97-4)2239 Name of Respondent Robert William FftiodJ For Claimant: Nonnm S. Buckvar. Esq., Litigation Counsel of A.G. Edwards & Sons, Inc. (•A.G. Edwards"), St. Louis, Missouri. Respondent Robert William Frank ("Fcindt") appeared J2EI at. CASE INFORMATION Statement of Claim filisd on May

F- RECEIVED RECEIVE ^ • m bASD-Arbitwtion Mediation HUdii IN ARBITRATION PROCEEDINGS BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CHARLES SCHWAB & CO., INC., a ) Arbitration No.: 97-02238 (Consolidated^ California Corporation, ) j STIPULATED AWARD Claimant, ) ) ) ARET MADILIAN and CHRIS MADILIAN, ) Respondents. ) REPRESENTATION OF PARTIES Claimant Charles Schwab & Co., Inc. was represented in this proce