AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Chris Miller Maxwell Miller Chris Miller, Trustee, Miller Living SEP. PPTY. U/A dated 2/04/88 and Chris Miller, Trustee, Miller Living Trust U/A dated 2/04/88 v. Arbitration No. 97-01260 Name of Respondents Fidelity Brokerage Services, Inc. Fidelity Investments Company, Strategic Advisors, Inc. and Katherine B. Sch

AWARD HASP REGULATION. INC In the matter of the Arbitration Between Name of Claimant fa) Steve Boeche Arbitration No. 97-01258 Name of Respondentfsl Sterling Foster & Co. Bear, Stearns Securities Corp. Adam R. Lieberman Frank J. Monroig REPRESENTATION For Claimant: William P. Torngren, Esq., Sacramento, California For Respondent Sterling Foster & Co. (Sterling Foster): Joseph D'Elia, Esq., Huntington, New York For Respond

NASD Regulation, Inc., Award In the Matter of Arbitration Between Mark S. Henderson, Claimant, and No. 97-01254 Waddell& Reed, Inc., Respondent. REPRESENTATION OF PARTIES Claimant, Mark S. Henderson, ("Henderson,") was represented by Patricia D. Henderson, Esquire of Bedford, Texas. Respondent, Waddeli & Reed, Inc., ("Wadded & Reed,") was represented by David R. Burfbrd, Esquire of Waddeli & Reed located in Shawnee Mission, Kansas. CASE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David W. Claiborne, (Claimant) vs. Lance Kluger and John Meyers, (Respondents) Case Number: 00-01855 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant David W. Claiborne, hereinafter referred to as "Claimant", appeared pro se, Respondent Lance Kluger ("Kluger"), appeared pro se. Respondent John Meyers ("Meyers"), did not enter an appearance in this matter.

NASD Regulation, Inc., Award In the Matter of Arbitration Between Prudential Securities, Inc., Claimant, and No. 97-01248 R. Paul Hayes, Respondent. REPRESENTATION OF PARTIES Claimant, Prudential Securities, Inc. ("Prudential") was represented by Michael A. Kraft, Esquire, of Gomberg, Kane and Fischer, Ltd. located in Chicago, Illinois. Respondent, R. Paul Hayes ("Hayes") was represented by Norman Landa, Esquire of Dallas, Texas. CASE IN

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Michael A. Zapata and James Chung v. Name of Respondent Quest Capital Strategies, Inc. David Yu and Lou Ruiz Arbitration No, 97-01246 For Claimants: For Respondents: Statement of Claim filed: REPRESENTATION Jonathan Schwartz, Esq. Law Offices of Jonathan Schwartz Marina del Rey, California Richard C. Pali Points and Authoriti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTIITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebbcr, Inc. 95-05974 Name of Respondent R;iymond Lawrence Moyer For Claimant: Jeffrey A. Norman, Esq. and Thomas M. Mierswa, Jr., Esq., corporate counsel for PaineWebbcr, Inc. ("PaineWebbcr"), New York, NY. : For Respondent: pro .se. CASE INFORMATION Statement of Claim filed: December 21, 1995. Claimant

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimants Ulderico and Agnes Sacco Case No. 97-01243 vs. Narpe of Respondents Maidstone Financial, Inc. Eric Lezak Joshua Berch REPRESENTATION For Claimants Ulderico and Agnes Sacco ("Claimants") appeared Anthony J. Ferrara, Esq., of the firm Polstein, Ferrara & Dwyer, P.C. located in New York, New York. Respondent Maidstone Financial, Inc. ("Maidstone")

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Arleen Paul Case No. 97-01242 Name of Respondent Redstone Securities, Inc. REPRESENTATION For Claimant Arleen Paul ("Claimant") appeared MaryAnn Stokes, Esq. of the law firm Conn Lifland Pearlman Herrmann & Knopf, LLP, located in Saddle Brook, New Jersey. For Respondent Redstone Securities, Inc. ("Respondent") appeared Charles M. O'Rourke, Esq., a sole prac

. MAR.25.1998 li:57ftM NftSD REGULATION FL ISO.791 P. 7x9 •'if N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jay Singletary Name of Respondents Young, Stovall & Co.. Inc., Mark Sullivan, Roark Young and Pamela Leone NASD CASE NO. 97-01238 REPMBSBNTATlON For Claimam: Dennis A. Nowak, B*q. of Tew and Nowak, Miami, Florida, For Respondents Young, StoviU ft Co., Inc. ("Youn