AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants John C. Musso and The Musso Family Trust V. 97-00248 Denver, Colorado Respondents Schneider Securities, Inc., Chatfield & Dean & Co. J.W. Genesis Financial Corporation, First Union Securities, Inc. n/k/a Wachovia Securities, Inc., and Scott Olson REPRESENTATION OF PARTIES John C. Musso and The Musso Family Trust ("Claimants") were represented by Otto K. Hilb

AWARD NASD Regulation, Inc. 97-00247 In the Matter of the Arbitration Between Name of Claimant Gary Luboyeski Name of Respondents L.C. Wegard & Co., Inc. Shane Kinahan REPRESENTATION Claimant Gary Luboyeski ("Claimant") was represented by Elisabeth Seieroe Maurer, Esq, Attorney at Law, Ridgefield, Connecticut. Respondent L.C. Wegard & Co., Inc. ("L.C, Wegard") did not appear. Respondent Shane Kinahan ("Kinahan") appeared pro se.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael F. Kelly, Claimant, v. No. 97-00245 Sterling Foster & Co., Inc., Adam R. Lieberman, Craig L. Kellerman, Frank J. Monroig, Edward P. Heeney, Carleton G. McBride, Christopher Pike, and Mario Rodriguez, Respondents. REPRESENTATION OF PARTIES Claimant Michael F. Kelly ("Claimant") appeared pro se. Claimant was previously

JUL.20.1998 8:20flM NflSD REGULflTION FL N0.66Z P.20 N.A.S.D. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between o tl DeWitt Parsons NASD CASE NO. 97-00239 Name nf Respondents Smith Barney Inc. and John Leech For Claimant; RuaseU L, Fortoey, Esq. of Russell L. Forkey, P. A., Fort Lauderdale, Florida. For Respondents: Victor A. Machcinski, Jr., Esq., First Vice President / Associate General

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Charles Bruce Hume and Rosemary Hume, Claimants, and No. 97-00238 Merrill Lynch Pierce Fenner & Smith, Inc., Penny Atwood, and David Me Williams, Respondents. REPRESENTATION OF PARTIES Claimants, Charles Bruce Hume and Rosemary Hume (hereinafter, "the Humes,") were represented by Jonathan Kord Langemann, Esquire of New York, New York. Respon

N.A.S.D. REGULATION AWARD NATION CASE: 97-00229 Jeffrey M. and Nancy K. Hubbard, claimant w E*Trade Securities, Inc, respondent. ATTORNEYS: For Claimants Claimants appeared pro se - Fairfax, VA, For Respondents appeared Bob Salvador, Compliance Analyst - Palo Alto, CA. DATE FILED: 1/15/97 CASE SUMMARY: Claimants alleged respondent was negligent in the management of their account causing them to over sell shares in Porta Systems Corp. Claim D

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Salco, Inc. Case No. vs. WXI224 NAIIICSJ ) F Kcsio i idci n s The narriman Group, Inc. Antonio T. Boseo Anaelo John Bosco REPRESENTATION For Claimant Salco, Inc. ("Claimant") appeared Douglas A. l ; oss, Lsq. o!" the law firm Harris. Beach & Wilcox, LLP located in Rochester. New York. Respondent The Harriman Group. Inc. ("Harriman"). located

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Andrew Polinsky, Jr. and Andrew Polinsky Living Trust and Names of Respondents Gregory J. Schwartz & Co., Inc. and Steven E. Bernier Case Number. 00-01730 Hearing Site: Southfield, Michigan Customers v. Member and Associated Person REPRESENTATION OF PARTIES Andrew Polinsky Jr. (a/k/a "Andrew Polinsky") and Andrew Polinsky Living Trust ("Cl

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00223 David Pederson, claimant vs. Joseph Roberts & Co., respondent. ATTORNEYS: Claimant appeared Pro Se - Boca Raton, FL. Respondent did not respond to the Statement of Claim. DATE FILED: January 15, 1997 CASE SUMMARY: Claimant alleged misrepresentation of material facts and omission regarding the purchase of Act II Inc. stock. Claim Data Award Data

AWARD HASP REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Craig Binks Mary Ann Binks Consolidated Cases #97-00222/ vs. 97-02779 Name of Respondent f s) Piper Jaffray Inc. Don J. Larkin Kenneth S. Cameranesi David William James vs. Piper Jaffray Inc. Don J. Larkin Kenneth s. Cameranesi And Related Claims REPRESENTATION For Claimants Sinks: H. Denn