Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert Terry Case No. 99-02191 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Richard Lopez REPRESENTATION OF PARTIES For Robert Terry, hereinafter referred to as "Claimant": William T, Kirtley, Esq. of the law firm of William T. Kirtley, P.A., Sarasota, Florida, For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roney & Co., Claimant, Vs. Sabrina M. Silders (O'Malley), Respondent, Vs. Peter W. Powers, Third-Party Respondent. Case Number: 99-02189 Hearing Site: Cleveland. Ohio REPRESENTATION OF PARTIES Claimant Roney & Co. ("Roney") was represented by Jason S. Conti, Esquire, of Honigman, Miller, Schwartz and Conn, LLP, Detroit, Michigan. Respondent/Thir

NASD Re 9 ulatlon - lnc - Office of Dispute Resolution REGULATION ISS Broad Street * 363i Floor ' New York. NY 10004-2193 * 212-S58-44QC ' Fax 212-85S-4339 ftn NASD Conpany S a tell-1e Office af 1735 K Street * 4th Floor ' NW 'Washington, DC 2CC06-; 506 * 202-723-8958 * Fax 202-72S-6952 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-02183 Michael J. Mills, claimant vs. Ameritrade, Inc., re

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between NameofClaii Patricia P. Storey Case No. 00-03529 Name of Respondents Tucker Anthony, Inc. and Daniel P. Kennedy REPRESENTATION OF PARTIES Claimant Patricia Storey ("Claimanf' or "Storey") was represented by John J. Barter, Esq., Boston, Massachusetts Respondents Tucker Anthony, Inc. and Daniel P. Kennedy hereinafter collectively referred to as "Re

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02182 Janine Klein, claimant vs. John Bruno and J.W. barclay & Company, Inc., respondents. ATTORNEYS: Claimant Janine Klein ("Claimant") appeared Pro Se., Pomona, New York. For Respondents John Bruno ("Bruno") and J.W. Barclay & Company, Inc. ("J.W. Barclay") ("Respondents"), John Bruno, J.W. Barclay & Company, Inc., New York, New York. DATE FILED: 5/12/1999

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Harald Beck, Claimant vs. Quick & Reilly, Inc., Respondent. Case Number: 99-02177 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Harald Beck: Richard G. Carlston, Esq., Miller, Starr & Regalia, Walnut Creek, California Respondent, Quick & Reilly, Inc.: Philip A. McLeod, Esq., Keesal, Young & Logan, San Francisco, California CASE INFORMATION Sta

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Renzo Pedrazzi and Jean Pedrazzi, (Claimants) vs. Bishop, Rosen, Inc., Alexander, Wescott & Co., Inc., Uppal Sandeep, John J. Williams, Michael A, Affigne, Jr., Carl R. Walston, David M. Weiss, and Reed D, Weiser, (Respondents) Case Number: 99-02175 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Renzo Pedrazzi ("Mr. Pedrazzi") and Jean Pedrazzi ("Mrs. Pe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-02174 Estate of Steven F. Ondra, Claimant vs. Baxter Banks and Smith Ltd., Respondent. ATTORNEYS: Claimant appeared Pro, Se., through it Personal Representative, Arlene K. Kotecki ("Claimant"). Dyer, IN. For Respondent, Baxter Banks and Smith Ltd., ("Respondent"), appeared Martin McDermott, Baxter Banks and Smith, Ltd., St. Petersburg FL. DATE FILED: May 5, 1999 CASE SUMMARY: C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02173 Robert Celentano and Lynn Celentano JTWROS, claimants vs. William Fusco, Jeffrey B. Cohen and Salomon Smith Barney, respondents. ATTORNEYS: Claimants Robert Celentano and Lynn Celentano ("Claimants"), appeared Pro Se., East Haven, CT. For Respondent William Fusco, Jeffery B. Cohen and Salomon Smith Barney (collectively "Respondents"), Ann Parry, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Dimitry, (Claimant) vs. H.J. Meyers & Co., Inc., Gary Waye, and S.G. Cowen Securities Corporation, (Respondents) Case Number: 99-02172 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Thomas Dimitry, hereinafter referred to as "Claimant**: Russell J. Guglielmino, Esq., Law Offices of Russell J. Guglielmino, Rochester, NY. Respondent, H.J. Meyers &