Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joel Ezon (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Gustav A. Fingado, IV, and Ameritrade (Respondents). Case Number: 98-04040 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Joel Ezon ("Claimant"): Saul Roffe, Esq., Sirota & Sirota LLP, New York, New York. Respondents Merrill Lynch Pierce Fenner & Smith, Inc., ("Merrill Lynch"), and Gustav A.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GKN Securities Corp, (Claimant) vs. Frank Mazzei, (Respondent) Case Number: 98-04039 Hearing Site:New York, New York REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, New York, New York. Respondent, Frank Mazzei, hereinafter referred to as "Respondent" did not enter an appearance in this matt

Award NASD Regulation, Inc. In die Matter of the ArlMtration Between Name of Claunant James E. Eddy f Case No. 98-04038 Names of Respondents Francis Martin McDermott Robert John Ogilvie Maurizio V. Grammatica Baxter Banks & Smith, Ltd. REPRESENTATION OF PART For Claunant: John R. Kiefher, Jr., Esq. of Riden, Earl & Kiefner, P.A., St. Petersburg, Florida. For Respondents Francis Martin McDermott ("McDermott"), Robert John Ogil

Award NASD Regulation, Inc. In the Matter of the ArbiUration Between Name of Claimant P. L. Irvan Case No. 98-04031 Names of Respondents Monroe Parker Securities, Inc. Steven Anthony Anello REPRESENTATION OF PARTIES Claimant originally appeared pro se. On or about July 9, 1999, Claimant retained John J. Heflin, III, Esq. of Bourland, Heflin, Alvarez & Minor, PLC, Memphis, TN. For Respondent Monroe Parker Securities, Inc. ("MPS"): Alan Li

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Elliot Dufour vs. Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 99-03823 Hearing Site: Houston, Texas (Consolidated with Merrill Lynch Pierce Fenner & Smith, Inc. vs. Elliott Dufour and PaineWebber, Inc. Case Number 99-03849) REPRESENTATION OF PARTIES Elliot Dufour ("Dufour") and PaineWebber. Inc. ("PaineWebber"): Bradley Whalen, Esq. and Martin Sadler, Esq., Doyle, Rider

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Erik Reinholm as Executor of the Estate of Lembit Reinholm, Claimant v. PaineWebber, Inc. and Delaware Charter Guarantee & Tmst Co., Respondents Case Number: 98-04021 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: Allan Herzlich, Esq. Law Offices of Allan Herzlich Encino, Califomia For Respondent PaineWebber, Inc.: (jregory E. Copeland, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Abernathy Leet Institute of Financial Research, Inc., (Claimant) vs. Gary Leet, (Respondent) Case Number: 98-04020 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Abernathy Leet Instimte of Financial Research, Inc., hereinafter referred to as "Claimant": Andrew W. Sidman, Esq., BuUer, Fitzgerald & Potter, New York, NY. Respondent, Gary Leet, he

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Emerald Investments Limited Partnersiiip (Claimant) vs. National Discount Brokers (Respondent) Case Number: 98-04019 Hearing Site: Ciiicago, Illinois REPRESENTATION OF PARTIES Claimant Emerald Investments Limited Partnersiiip ("Emerald"): Micliael T. Donovan, Esq., Grippo & Elden. Respondent National Discount Brokers ("National"): David E. Robbins, Esq., Kaufman, Feiner, Yamin

AWARD NASD Regulation, Inc. CASE: 98-04002 GKN Securities, Inc., claimant vs. Glenn Kessler, respondent. ATTORNEYS: Claimant appeared through its Director of Litigation, Kadierine Nathan, Esq. - New York, NY. For Respondent appeared Chase A. Caro, Esq., and Rebecca Nyheigh, Esq., of the firm, Robinson, Brog, Leinwand, Greene, Genovese & Gluck, P.C, New York, NY. DATE FILED: October 27, 1998 CASE SUMMARY: Claimant alleged breach of promissory note.

AWARD NASD Regulation, Inc. CASE: 98-04001 GKN Securities, Corp., claimant vs. George Colon, respondent. ATTORNEYS: For claimant GKN Securities Corp., appeared Vice President Michael Colombo, New York, NY Respondent George Colon appeared Pro Se., Philadelphia, PA DATE FILED: 10/27/98 CASE SUMMARY: Claimant alleged that respondent failed to pay the amount owed on a Promissory Note and accordnig to a Draw Agreement. Claim Data Award Data Claim