AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant . ' • . . Michael Bedner and Case Number 98-00380 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Michael Bedner (hereafter referred to as "Claimant") was represented by James A. Stevens, Esq. of Richmond, Texas. Charles Schwab & Co., Inc. (hereafter referred to as "Respondent") was represented by Sean Median, Esq. CASE INFOR

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Bernard Edelstein Names of Respondents Prudential Securities, Inc. Richard A. Golub Case No. 00-05439 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Bernard Edelstein ("Edelstein") hereinafter referred to as "Claimant": C. David Durkee, Esq., Angones, Hunter, McClure, Lynch and Williams, Miami, Florida. For Prudential Securi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John Strode, and Shari Strode and 98-00377 Name of Respondents Meyers-Pollock Robbins, Inc., John Dixon, and Issach Flash . REPRESENTATION OF PARTIES John Strode, and Shari Strode ("Claimants") appeared on their own behalf. Meyers-Pollock Robbins, Inc.("MPR") was not represented and failed to appear at the hearing- John Dixon, a/k/a Yan Dikshtey

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between i ( Name of Claimant Jocelyn Morin vs. 98-00375 Name of Respondents Flynn Options Trading Co. Thomas Flynn REPRESENTATION For Claimant: Sidney L. Gold, Esq. of Lovitz and Gold, Philadelphia, Pennsylvania. For Respondents: Steven R. Williams, Esq. of Mesirov, Gelman, Jaffe, Cramer & Jamieson, Philadelphia, Pennsylvania. CASE INFORMATION Statement of Claim fil

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant William Shea vs. Case No. 98-00374 Name of Respondent Nikko Securities Co., International REPRESENTATION For Claimant William Shea ("Claimant") appeared David Crystal, II, Esq. of the firm Gilbridge, Tusa t Last & Spellane, LLC, located in New York, New York. For Respondent Nikko Securities Co., International ("Respondent") appeared C. Evan Stew

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gilford Securities, Inc. vs. Case No. 98-00373 Name of Respondent Joseph Kavanagh REPRESENTATION For Claimant Gilford Securities, Inc. ("Claimant") appeared Joel Levinson, Esq., In-House Counsel at Gilford Securities, located in New York, New York. For Respondent Joseph Kavanagh ("Respondent") appeared John E. Lawlor, Esq., a sole practitioner with

Jul-13-01 10:57am From- T-778 P.008/014 F-703 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name nf Gloria and Howard Schwartz Gloria Schwartz Gloria Schwartz IRA 98-00372 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Steve Texeira Jeff Spotts REPRESENTATION For Gloria and Howard Schwartz ("Claimants") appeared Richard C. Hochman, Esq., a sole practitioner, located in Jamaica Estates, New

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Case No. 98-00371 Name of Respondent Michael Sargenti REPRESENTATION For Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant") appeared Meg E. Sobel, Esq., of Jaffe & Asher, located in New York, New York. Respondent Michael D. Sargenti ("Respondent") appeared pro se. CASE INFORMATION Cl

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00370 Stephen Diperri, claimant vs. PaineWebber and Thomas Sharpe, respondents. ATTORNEYS: Claimant appeared Pro Se. - Melville, NY. For respondents appeared - Lisa Catalano Tillem, Esq. - Wehawken, NJ. DATE FILED: 1/30/98 CASE SUMMARY: Claimant alleged misrepresentation, unsuitability and failure to supervise. Claim Data Award Data Claim: $9,024.310' Award: $.00 Filing Fees: $150.00 Filing Fees: $.00

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00367 Jean L. Williams, claimant vs. Fidelity Investments/Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Clackamas, OR. For respondent appeared Alicia Reines-Leo, Esq., - Boston, MA. DATE FILED: 1/30/98 CASE SUMMARY: Claimant alleged failure to execute, and unauthorized trading. Claim Data Award Data / Claim: $5,372.92 Award: $5,372.92 Interest: Requested I