NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kenneth & Brooke Findley and 96-05480 Name of Respondents Dain Bosworth, and David Nelson, Jr. Consolidated with Name of Claimants Kenneth & Brooke Findley and 96-05533 Name of Respondents PaineWebber, Inc., and David Nelson, Jr. REPRESENTATION OF PARTIES Kenneth and Brooke Findley

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05477 Rosella Medollo, claimant v. Fidelity Investments, respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se - Baldwin, NY. For Respondents Annmarie Ciccolo, Esq. - Boston, MA. DATE FILED: 12/10/96. CASE SUMMARY: Claimant alleged omission of material fact regarding redemption fees for Fidelity's Select Technology fund and five of Fidelity

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David N. Weinstein and Name of Respondent Chase Securities, Inc. Case Number 96-05476 REPRESENTATION OF PARTIES For David N. Weinstein ("Claimant") appeared Jonathan P. Arfa, Esq., of Roosevelt & Arfa, LLP, located in White Plains, New York. For Chase Securities, Inc. ("Respondent") appeared Stephen L. Ratner, Esq., of Rosenman & Colin, LLP

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant/Counter-Respgndent: Wedbush Morgan Securities v. Arbitration No. 96-05470 Name of Respondent Eric W. Lytle v. Name of Third-Party Respondent Dennis LoPresti REPRESENTATION For Claimant/Counter-Respondent Wedbush Morgan Securities and Third-Party Respondent Dennis LoPresti: For Respondent Eric W. Lytle:

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Otto S. Glaser. Claimant. and No. 96-05467 A.G. Edwards & Sons, Inc., Respondent. REPRESENTATION OF PARTIES Claimant. Otto S. Glaser ("Glaser") was represented by Robert E. Lapin. Esquire of Carrigan. Lapin. Landa & Wilde in Houston, Texas. Respondent, A.G. Edwards & Sons ("Edwards") was represented by Phyllis Hartrich, Esquire, at hearing, and

DEC.15.1998 1:25PM NfiSD REGULflTION FL NO.352 P.2/4 NASD REGULATION, INC. AWARD NASD Rotation, Inc.) Office of Dispute, Resolution In the M II Mr of ** Arbitration Between A. ritjft tottt A. Morrison 9W55466 hi jfnei of Respondents U.S. BosMfl Capital Corporation Leon Okunwski Nathaniel (1. Norton, III Willaid Ttapnrey REPRESENTATION For aai'iiims: Scott Taylor, Vice President of Securities Arbitration $peti*lMte, Inc., Veto Beach,

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Joseph and Joan Billy 96-05457 Name of Respondents. Scott Forman Adam Friedland Lawrence Smith Daniel Porush REPRESENTATION Claimants Joseph and Joan Billy ("Claimants") were represented by Richard W. Vallario, Esq., Nutley, NJ. Respondent Scott Forman ("Forman") was not represented at the hearing. Responde

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05454 Frank Scotti, claimant v. Sterling Foster & Co., Inc. and John Keil, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Dix Hill, NY. For Respondents Respondents were represented by Gregory M. Curley, Esq. - Huntington, NY. DATE FILED: 12/9/96 CASE SUMMARY: Claimant alleged misrepresentation and unauthorized purchase regarding st

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05451 Thomas R. Bender, claimant vs. First Hanover Securities, Inc. and Joshus Arlo Ader, respondents. ATTORNEYS: Claimant appeared Pro Se, Anchorage, AK. For Respondent First Hanover Securities, Inc., appeared in-house counsel, Charles M. O'Rourke, Esq., Garden City, NY. DATE FILED: December 9, 1996 CASE SUMMARY: Claimant alleged that the execution pr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96*05450 Leonard G. Austin and Sofia F. Austift, claimants vs. Joseph Fedorko, respondent. ATTORNEYS: Claimant appeared Pro Se, Centre Hall, PA. Respondent appeared Pro Se, Syosset, NY. DATE FILED: December 9, 1996 CASE SUMMARY: Claimant alleged omission and breach of fiduciary duty with respect to the recommended portfolio. uut Claim Data Award Data