Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James Tumulty, (Claimant) vs. Scotia McLeod, (Respondent) Case Number: 98-04781 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, James Tumulty, hereinafter referred to as "Claimant": Neal Brickman, Esq., New York, NY. Respondent, Scotia McLeod, hereinafter referred to as "Respondent": Jane Hansen, Esq., Milbank, Tweed, Hadley & McCloy LLP, New York, NY. CASE INFO

Award NASD Regulation, Inc. In the Mailer of the Arbitration Between: Robert Bennett, Claimant vs. Datek Online Brokerage Services Coi-p.. Respondent. Case Number: 98-04777 Hearing Site: San FrancLsco. Califomia RKPRKSKNTATION OF PARTIES Claimant, Robert Bennett, hereinafter referred to as "Claimanl": Robert Bennett, San Luis Obispo, California Respondeni, Datek Online Brokerage Services Corp., hereinafter referred to as "Respondent": Fredrick A. Ra

AWARD NASD Regulation, Inc. CASE: 98-04774 William J. Franks, claimant vs. Fidelity Brokerage Services. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se from Tyngsboro, MA. For Respondent appeared Richelle S. Kennedy, Esq. of the law firm, Bingham Dana LLP. Boston. MA. DATE FILED: December 15, 1998. CASE SUMMARY: Claimant alleged failure to make a timely execution of a stop-loss order for Open Market (OMKT) stock. Claim Data Award Data

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04772 John E. Armstrong, claimant vs. Jonathan M. Durinda, John Stracquadanio, Earl J. Rusnak, and Capital Planning Associates, Inc., respondents. ATTORNEYS: Claimant John E. Armstrong appeared Pro Se., Fountain Valley, California. For Respondent Jonathan M. Durinda ("Durinda"), appeared Shelley Chaben, Esq., of the firm, Kogan & Taubman, L.L.C, New York. New

Award NASD Regulation, Inc. In the Matter of the Arbitration BehA/een: Charles E. Hill, (Claimant) vs. Everen Securities, Inc. and Dan Schmlech, (Respondents). Case Number: 98-04771 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Charles E. Hill, hereinafter referred to as "Claimant": R. Christopher Bell, Esq., Bell & Henry, Houston, Texas. Respondent, Everen Securities, Inc. ("Everen"), hereinafter referred to as "Respondent"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Foresight Capital Management, Inc., Claimant and Counter-Respondent v. Rene Molina, Respondent and Counter-Claimant v. Robert Lechman, Third-Party Respondent Case Number: 98-04764 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant and Counter-Respondent, Foresight Capital Management, Inc. and Third-Party Respondent. Robert Lechman: Paul W. Thomas, Esq.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Eugene Smith Case No.98-04757 Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES For Claimant Eugene Smith hereinafter referred to as "Claimant": Sidney R. Barrett, Jr., Esq. of the law tirm of Porter & Barrett, Adanta, Georgia. For Respondent Dean Witter Reynolds, Inc. hereinafter referred to as "Respondent": James D. Yellen, First Vice-President, Senior

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anne Sullivan, Dennis Sullivan, and Kevin Sullivan, (Claimants) vs. Jeffrey G. Nunez, Fordham Financial Management, Inc., Commonwealth Associates, Fordham Holdings Group, Inc., Phyllis Anne Henderson, William Carl Goble, and William Baquet, (Respondents) Case Number: 99-03903 Hearing Site: New York, New York REPRESENTATION OF PARTIES -, Claimants, Anne Sullivan ("A. Su

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William H. Dodd (Claimant) vs. Donaldson. Lufkin & Jenrette and Rene Henriksen (Respondents). Case Number: 98-04752 Hearing Site: San Francisco, Califomia. REPRESENTATION OF PARTIES William H. Dodd "Claimant": Brian L. Zagon. Esq., Resolution Law Group, Lafayette, Califomia. Donaldson, Lufkin & Jenrette and Rene Henriksen "Respondents": Susan Hoffman, Esq., McCutcheon Doyle Br

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph T. and Roseann Mai Potvin (Claimants) v. Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc., Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., and William Aurienmia (Respondents) Case Number: 98-04750 Hearing Site: New York. New York Nature of the Dispute: Customers v. Members and Associated Person. REPRESENTATION OF PARTTES Claimants Joseph