N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-2236 Rod Myers and Patricia Myers, claimants vs. Sterling Foster & Co., Inc., Scott Siegal and Adam Lieberman, respondents. ATTORNEYS: Claimants appeared Pro Se. - Bloomfield MI. Respondent Scott Siegal did not appear. For respondents Sterling Foster & Co., Inc. and Adam Lieberman appeared Gregory M. Curley, Esq. - Huntington, NY. DATE FILED: 5/5/97

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-02233 Donald and Shirley Stebbins, claimants v. Edward D. Jones & Co., Jerry Deters, Abby Dobkins and Keith Souza, respondents. ATTORNEYS: For Claimant appeared James D. Spiros, Esq. - Hoopeston, IL. For Respondents appeared Lisa A- Nielsen - St. Louis, MO. DATE FILED: 5/5/97 CASE SUMMARY: Claimant alleged delay in executing sell order of common stock resu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claire Frank and Patricia Frank Rickles, Claimants v. David Nevell and Jeanne L. Smith, Respondents Case Number: 00-01975 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Claire Frank In Pro Per Marina Del Key, California For Respondents: Bryan L Reyhani Merrill Lynch, Pierce, Fenner & Smith, Inc. New York, New York CASE IN

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant(s) Christopher Rodgers v. Name of Respondent(s) Smith Barney, Inc. David Perez Arbitration No. 97-02231 REPRESENTATION For Claimant: For Respondents: Anthony J. Trepel, Esq. Sandra R. Mclntosh, Esq. Trepel & Clark San Jose, California Lisa Bertain, Esq. Keesal, Young & Logan San Francisco, California Paul Giappone, Es

JUN.29.1993 3:03PM NASD REGULATION PL NO.634 P. 12 N-A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the* Arbitration Between Kathleen Busceml Name NASD CASE NO. 97-02219 Ralph DeFeo and Ralph DeVito Claimant Kathleen Buscemi (' For Respondent Ralph DeFeo j") appeared pro se. CDeFeo"): Howard E. Greeoberg, Esq. of die Law Offices of Howard E. Gieenberg, Esq., P.C., Hsappauge, New York. Res

Qf/27/88 MON 11:09 FAX NASD REGULATION (2)020 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between James E. Gingies, Claimant and Counter-Respondent, v. No. 97-02210 Lionel J. Sanchez, Hamilton Fairchild, Inc., and Hamilton Fairchild Securities Corp,, Respondents and Counter-Claimants. REPRESENTATION OF PARTIES Claimant James E. Gingies ("Claimant") was represented by Susan Morrison, Esq. of

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Craig B. Greenstein 97-02209 Name of Respondents J.B. Sutton Group, LLC Peter Macchio Peter Cohen Paul Mora REPRESENTATION For Claimant Craig B. Greenstein ("Claimant"): Aaron Sears, Highstown, NJ For Respondents J.B. Sutton Group, LLC ("JB Sutton"), Pater Macchio ("Macchio"), Peter Cohen ("Cohen") and Paul Mora

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Kamlesh Chopra, Claimant, v. Prudential Securities, Inc., and SumV'Neil" Subharwal, Respondents. No. 97-02208 REPRESENTATION OF PARTIES Claimant Kamlesh Chopra (''Claimant") was represented by Jerome D. Frank, Esq. of Farmington Hills, Michigan. ~~ Respondents Prudential Securities, Inc. and Sunil "Neil" Subharwal ("Respondents") were

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Edward Stanko Case Number and 97-02204 Name of Respondents Prudential Securities, Inc. George Hallad REPRESENTATION OF PARTIES For Edward Stanko ("Claimant") appeared Lawrence M. Philips, Esq., a sole practioner located in New York, New York. For Prudential Securities, Inc. ("Prudential") and George Hallad ("Hallad"), collectively referred to as

FINRA acknowledges the typographical error in the case number of this award. The case number should be 95- 00699 And not 96- 00699 NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI^iaiS Name of Claimant Gary Steven Sprung 96-00699 Name of Respondent PaineWebber, Inc. REPRESENTA'nON For claimant Gary Steven Sprung ("claimant") appeared Siieldon Eisenberger, Esq. of The Law Office of Sheldon Eisent)erger