NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimants David A. and Judith J, Carlton 97-01389 Name of Respondents Robert Nicolosi Louise A. Boscaino Vincent M. Carrella Sterling Foster & Co., Inc. Craig L. Kellerman Adam R. Lieberman Timothy J. Matthews Frank J. Monroig Michael H. Cohn Vincent F. DeMayo Brian P. Kearney Edmund P. Heeney Robert F. Pratt Diana F. Shtainer a/k

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michelle Morrison-Russo Case No. vs. 97-01387 Name of Respondents H.J. Meyers & Co., Anton M. Brill, Paul G. Caldera, Kevin Cerosky, Mayer Dallal, John F. Femiano, Mark Greene, Steven R. Goldstein, Mary Gryson, Helmut Meister, Danoo Noor, Sr., Moshe Silver, Douglas A. Sheinberg, Michael L. Vanechanos, and Younis Zubevich REPRESENTATION F

04V27/9S MON 11:08 FAX NASD REGULATION $017 NASD Regulation, Inc., Award In the Matter of Arbitration Between Charles Thurman, Claimant, and No. 97-01384 Washington Discount Brokerage Corporation, Respondent REPRESENTATION OF PARTIES Claimant, Charles Thurman ("Thurman,") was represented pro sc during these proceedings, and failed to appear at the hearing. Respondent, Washington Discount Brokerage Corporation ("Washington,") was represen

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James R. Porter and Bobbie F. Porter and 97-01379 Name of Respondent J.C. Bradford & Co. and Mark J. Bloom REPRESENTATION OF PARTIES James R. Porter and Bobbie F. Porter ("Claimants") were represented by Gerald A. Smith, Jr., Esquire of Little & Smith, P.C. located in Brenrwood, TN. J.C. Bradford & Co. ("Respondent Bradford"

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Milton A. Lunda and Lydia Lunda, Claimants, v. No. 97-01378 Dam Bosworth, Incorporated, and William D. Ford, Respondents. REPRESENTATION OF PARTIES Claimants Milton A. Lunda and Lydia Lunda ("Claimants") were represented by Mark J. Briol, Esq. of Briol & Associates located in Minneapolis, Minnesota. Respondents Dain Bosworth, Incorporated an

SENT BY: 11-12-98 ; 8'24AM ;NASD ARBITRATION DPT-> l2122085165;#17/24 NA.S.0, REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Aibitration Between Charlotte A. Chemavoman 97-01376 Name of Resnondents Preferred Technology, foe. Jim Gibson Michael Engmann Glenn McCrae Tim Heriosky George Prieston REPRESENTATION OF PARTTFS For Claimant: Steven L. Miller, Esq., Law Offices of Steven L. Miller,

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between PaineWebber, Incorporated, Claimant. and Case Number 97-01375 John Burrmann, Respondent. REPRESENTATION OF PARTIES Claimant, PaineWebber, Inc. was represented by Kathryn L. Krebs, Esquire of PaineWebber, Incorporated located in Los Angeles, California, Respondent, John Burrmaim appeared pro se'.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Total Plastic Services, Inc., Jerek Bury, and Peter Dozeman, Claimants, vs. 97-01372 Sterling Foster & Co., Inc., Respondent. REPRESENTATION OF PARTIES Total Plastic Services, Inc., Jerek Bury, and Peter Dozeman ("Claimants") were represented by Sanford J. Germaine, Esq. of Muth Cassebolt Germaine & Driggs, P.L.C., Phoenix, Arizona. Ster

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stanton Miles Connell, (Claimant) v. E*Trade Securities, (Respondent) Case Number: 00-01870 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Stanton Miles Connell ("Connell"): pro se. Respondent E*Trade Securities ("E*Trade"), hereinafter collectively referred to as "Respondent(s)": Paul S. Chan, Esq., Bir, Marella, Boxer & Wolpert, Los Angeles, Calif

04/06/9S MON 14:37 FAX NASD REGULATION El 022 NASD REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Doug Hodge and Dawnetta Hodge, Claimants, and Case No. 97-01370 Sterling Poster & Company, Incorporated, Adam Lieberman and David Lefcourt, Respondents. REPRESENTATION Off PARTIES Claimants, Doug and Dawnetta Hodge were represented by John Courtade, Esquire located in Austin, Te