NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Edwin Brit Wyckoff 96-03931 Name of Respondents Adam Kaplan State Capital Markets Corp. REPRESENTATION Claimant Edwin Brit Wyckoff ("claimant") appeared pro se. Respondent Adam Kaplan ("Kaplan") appeared pro se. Respondent State Capital Markets Corp. ("State Capital") did not appear at the hearings. CASE INFORMATION Statement of Claim was filed on: Septem

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Fidelity Brokerage Services, Inc., Claimant v. Francis Eustis and Sean Michael Jones, Respondents Case Number: 00-05178 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Laurence K. Richmond, Esq. Laurence K. Richmond & Associates, P.C. 1419 Hancock Street Greenleaf Building Quincy, MA 02169 For Respondents: Jeffrey A. Feldman. Esq.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ahmed F. Khadr 96-03930 Name of Respondents D.H. Blair & Company Jeffrey Woodrow Berns CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on September 4, 1996 Claimant Ahmed Fouad Khadr ("Claimant"), who appeared Pro Se, alleged that Respondent Jeff

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James N. and Barbara B. Galbraith 96-03929 96-04015 96-04016 Name of Respondent 96-04017 Nationwide Securities Corporation CASE SUMMARY In cases filed with the National Association of Securities Dealers Regulation, [nc. on September 4 and 9, 1996, claimants James and Barbara Galbraith ("claimants") who appeared

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Hisham A.F. Knadr 96-03925 Name of Respondents D.H. Blair & Company Jeffrey Woodrow Berns REPRESENTATION Claimant Hisham A. F. Khadr ("claimant") appeared pro-se. For Respondents D.H. Blair & Company ("DHB") and Jeffrey Woodrow Berns ("Berns 11 ) (collectively "respondents") appeared John T. McGuire, Esq. General Counsel and Senior Vice President for

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Irving & Jacqueline Schlusselberg and 96-03916 Name of Respondent J.S. Securities, Inc. Wellington Oswald Rios a/k/a Oswald Wellington a/k/a Oscar Wellington REPRESENTATION OF PARTIES For Irving & Jacqueline Schlusselberg ("Claimant") appeared Eric Ross, Esq. of Fishbein, Badillo, Wagner & Harding located in New York, New York. For J.S. Securiti

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant PaineWebber, Incorporated and Case Number 96-03913 Name of Respondent Daniel F. Barrett ^PRESENTATION OF PARTIES Claimant, PaineWebber, Inc., was represented by Patricia E. Cowart, Esquire of PaineWebber, Inc. located in Fort Lauderdale, Florida. Respondent Daniel F. Barrett, did not fil

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION Prudential Securities, Inc., Claimant. v. Case Number 96-03910 William I.Odom, REPRESENTATION OF PARTIES Claimant, Prudential Securities, Inc. was represented by Michael A. Kraft, Esq. of Gotnberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent, William I. Odom was represented pro se. CASE INFORMATION The Statement of Claim of Prudential Securities, Inc. was filed on

N.A.S.D. AWAR& NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainiant Walter T. Scudder . 96-03909 Name of Respondents Michael Kijanka Joseph Charles & Assoc., Inc. Joseph Charles Visconti Roy Thomas Amico Arnold Levine Geraldine A. Genco REPRESENTATION For Qaimant: Neal I. Blaher, Esq. of the Law Office of Neal J. Blaher, Orlando, Florida. For Respondents: Arnold Levine, Esq. of J

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Emlen William Holmes, Jr., Successor Trustee of the Thomas Hodgskin Dubois and Alice Ballantine Dubois v. Arbitration No. 96-03905 Name of Respondent^ ML Stern & Co., Inc. Robert Yorba For Claimant: Trenton J. Hill, Esq., Jones, Bell, Abbott, Fleming & Fitzgerald, LLP Los Angeles, California For Respondent: J