AWARD National Association of Securities Dealers Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between J.B. Bolin. Jr., Claimant. v. The Harriman Group Incorporated. Thomas R. Fede and Scolt Fallen. Respondents. Case Number 97-00220 REPRESENTATION OF PARTIES Claimant, J.B. Bolin. Jr. was represented by Bruce W, Day, Esquire of Day, Kdwards, Federman. Propester & Christensen, P.C. from Oklahoma Cit

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Name of Claimant Joseph A. Constantino Names of Respondents Smith Barney, Inc. David Sobocinski 97-00215 REPRESENTATION For Claimant Joseph A. Constantino ("Claimant") appeared Steven A. Constantino, Esq. of the law firm Constantino & Constantino with offices located in Copiague, New York. For Respondents Smith Barney, Inc. ("Smith Barney") and David Sobocinski ("

NASD REGULATION, INC. AWARD 97-00214 In the Matter of the Arbitration Between Name of Claimant Francis J. Maguire Name of Respondents Marketing One Securities, Inc, Marketing One, Inc. REPRESENTATION For Claimant Francis J. Maguire ("Claimant") appeared Joseph R. Press, Esq., a sole practitioner with offices in Bayonne, New Jersey. For Respondents Marketing One Securities, Inc. ("MOSI") and Marketing One, Inc. ("MOF), collectively re

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Milton Reisner 97-00213 Name of Respondents State Capital Markets Corporation John Doukas Alexander M. DelaGarza, II Solomon J. Algazi Cathleen E. Seneca REPRESENTATION For Claimant Milton Reisner ("Reisner") appeared Neil A. Sussman, Esq., a sole practitioner with offices located in New York, New York. For Respondents State Capital Markets

OCT,31.1998 ^:07PM NPSD REGULRTION FL MO.273 P.5/13 N.A.S.D. REGULATION, INC, AWARD •i» NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John D. EUiou Names of ftespondents Oppenheimer & Co., Inc. Michael K. McNulty 97-00207 For Claimant: John Lawrence Allen, Esq., Carlsbad, California. For Respondents: Lloyd S. Clareman, Esq., New York, New York. CASE INFORMATION Statement of Claim file

AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Dean N. Ninteman, Trustee of the Dean N. Ninteman Trust v. Arbitration No. 97-00204 Name of Respondent/a) Kidder, Peabody & Co., Inc. William Holland, and related Cross-Claims REPRESENTATION For Claimant: Steven R. HaasLs, Esq. Law Offices of Haasis & Goodin, San Diego, California For Respondent & Cross-Respondent Kidd

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00193 Don A. Berlincourt, claimant v. Rondo Hosang, Norfolk Securities Corp. and Oliver P. Hosang, III, respondents. ATTORNEYS: Claimant appeared pro se - Chagrin falls, OH. Respondents did not appear. DATE FILED: 1/13/97 CASE SUMMARY; common stock. Claimant alleged unauthorized trades and failure to reverse trades of Claim Data Claim: $8,0

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name of Claimant Kirkpatrick, Peitis, Smith, Polian Inc. NASD Case No. 97-00190 Name of Respondent Don H. Pace For Claimant: James M. Bausch of Cline. Williams, Wright, Johnson & Oldfather. Lincoln, Nebraska. The Respondent Don H. Pace appeared pro se. CASE INFORMATION Statement of Claim fifed: January 14. 1997. Claimant's Submission

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Les Atterbury ffi, M.D. T Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 00-01728 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: James A. Shalvoy, Esq. Law Offices of James A. Shalvoy Manhattan Beach, California For Respondent: Curt H. Muller, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Albert and Cheri Falack Case No. vs. 97-00187 Name of Respondents Smith Barney, Inc. Michael T. Morris REPRESENTATION For Claimants Albert and Cheri Falack ("Claimants") appeared Anthony J. Horn, Esq., a sole practitioner with offices located in Philadelphia, Pennsylvania. For Respondents Smith Barney, Inc. ("Smith Barney") and Michael T. Morris ("