NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Gaetano Cafaro 96-03491 Name of Respondents Island Securities, Inc. Jan Jusko Frank Duca REPRESENTATION For Claimant Gaetano Cafaro ("Claimant") appeared Kenneth T Wasserman, Esq., a sole practioner located in New York, New York. For Respondent Island Securities, Inc. ("ISI") appeared Jeffrey H. Weinberger, Esq., of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mario and Angela lacobucci John lacobucci 96-03489 Name of Respondents Chatfield Dean & Company, Inc. Howard Gasman REPRESENTATION For Claimants, Mario and Angela lacobucci, and John lacobucci ("lacobucci"), appeared Jeffery A. Sellers, Esq., of Silverberg, Wood, Sellers & McGorry, located in Buffalo, New York. For Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William P. Gore 96-03488 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Wayne Gregory CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1996, claimant William P. Gore ("Gore"), who appeared Pro Se, alleged that respondent Merrill, Lynch, Pierce, Fenner &

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carole L. Nelson 96-03487 Name of Respondents Lutheran Brotherhood Securities Corp. Floyd Skeins Lutheran Brotherhood Variable Insurance CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on August 13. 1996, claimant Carole Nelson ("claimant"), through her representative

NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. 96-03485 Name of Respondents Smith Barney Inc. (n/k/a Salomon Smith Barney, Inc.) Patience L. Taylor David Kirkwood John H. Wellington Name of Third Party Respondent Vicki L. Isom REPRESENTATION For Claimant Charles Schwab ("Claimant"): Jeffrey L. Levy, Esq., of the law

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-03483 Name of Respondent Timothy M. Tinker REPRESENTATION Claimant Dean Witter Reynolds, Inc. ("Claimant") was represented by Thomas C. Costello, Esq., Law Offices of John West, III, Baltimore, MD. Respondent Timothy M. Tinker ("Respondent") was represented by Kenneth P.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Meltzer Revocable Trust 96-03480 Name of Respondents Catello Rispoli a/k/a Carl Banks Nationwide Securities Corp. Carl D'Elia CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation. Inc. on August 12, 1996. claimant David Meltzer Revocable Trust ("claimant" or David Meltzer"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald Porchia 96-03479 Name of Respondents Biltmore Securities, Inc. Alan Siemens CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 12, 1996, claimant Donald Porchia ("claimant") through his representative, Thomas G. D'Luge, Esq., of the law firm of D'Luge, Miles & Miles, P.L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. —— 1 _ In the Matter of the Arbitration Between Name of Claimant Bonnie I. McKnight 96-03476 Name of Respondents Legg Mason Wood Walker, Inc Interstate/Johnson Lane Robert C. Thomas REPRESENTATION For claimant Bonnie I. McKnight ("claimant") appeared her representative Fred Thompson, HI, Esq. of the law firm Stokes & Thompson located in Charlestown,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05157 Fidelity Brokerage Services, Inc., Claimant vs. Kirk P. Thornton, Respondent. ATTORNEYS: For Claimant, Fidelity Brokerage Services, Inc., ("Claimant") appeared Laurence K. Richmond, Esq. of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent, Kirk P. Thornton, ("Respondent") did not respond to the Statement of Claim. DATE FILED: November 21, 2000 CASE SUM