Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Kunle and Stephanie Rosanwo vs. Case No. 99-02122 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Sean P. Campbell, Esq. David Dixon REPRESENTATION OF PARTIES Claimants, Kunle and Stephanie Rosanwo, hereinafter collectively referred to as "Claimants": Joseph L. Demeo, Demeo & Associates, Boston, Massachusetts Respondents, Merrill Lync

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Antonio Masci, Iginio Masci, Iginio Masci a/c/f Christopher Masci, Frances Masci, and Mastown Construction Co., Inc., Profit Sharing Plan (Claimants) vs. Olde Discount Corporation and John B, Inferrera, (Respondents) Case Number: 99-02117 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Antonio Masci ("A. Masci"), Iginio Masci ("I. Masci"), Iginio Masci a/c

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Esther Thielking and George Brown Case No. 99-02115 Name of Respondents PaineWebber, Inc. Richard Rothman Robert Taraska, Jr. REPRESENTATION OF PARTIES Claimants Esther Thielking and George Brown ("Claimants") were represented by Steven M. Dranoff, Esq. of the law firm of Dranoff Perlstein Associates, Philadelphia, PA. Respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02113 Jeff Maillo, claimant vs. Brookstreet Securities Corporation and Donovan Lazar, respondents. ATTORNEYS: For Claimant Jeff Maillo ("Claimant"), G. Mark Brewer, Esq., The Brewer Law Firm, LaJolla, California. For Respondent Brookstreet Securities Corporation ("Brookstreet"), H. Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California. Respond

f Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Brookshire Securities Corp. Case No. 00-03518 Hearing Site: Boca Raton, Florida Name of Respondent Stuart J. Simson REPRESENTATION OF PARTIES For Brookshire Securities Corp. ("Brookshire") hereinafter referred to as "Claimant": Sheldon Goldberg, Compliance Director, Principal, Brookshire Securities Corp. For Stuart M. Simson ("Simson") hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02107 Empire Financial Group, claimant vs. Byron Bums, respondent. ATTORNEYS: For Claimant appeared Randy Cupples, Compliance Officer, Longwood, FL. Respondent did not respond to the Statement of Claim. DATE FILED: May 6, 1999 CASE SUMMARY: Claimant alleged that respondent deposited a check into his account for the purchase of options contracts. Claimant further alleged that the ch

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02106 Edgar Almonte, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Edgar Almonte ("Claimant"), appeared Pro Se., Bronx, New York. For Respondent E*Trade Securities, Inc. ("Respondent"), Henry W. Carter, E*Trade Securities, Inc., Palo Alto, California, DATE FILED: 05/06/1999 CASE SUMMARY: Claimant alleged that on December 3, 1998 he

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION CASE: 99-02105 Penny Bobrow, claimant vs. First Madison Securities, Inc., and Adam Gitstein, respondents. ATTORNEYS: For Claimant Penny Bobrow, appeared Valerie L. Forbes of BLS Legal Services Corp., Brooklyn, NY For Respondents First Madison Securities, Inc., and Adam Gitstein, appeared Ray Vahab, of First Madison Securities, Inc., New York, NY DATE FILED: May 6, 1999

NASD NASD Re 9 ulation > |nc - Office of Dispute Resolution JLATIPIM 125 Broad Street" 36lh Floor - New York. An NASD Compaiy Satellite Office at: 1735 K Street - 4th Floor * NW * Washington, DC 20006-1508 - 202-72&-8956 * Fax 202-728-6952 Office of Dispute Resolution REGULATION 125 Broad Street * 36lh Floor * New York. NY 10004-2193 * 212-958-4400 * Fax 212-853-4389 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALER

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02103 Sharda Patel, Custodian for Sapna Patel, claimant vs. Josepthal & Co., Inc. and Swatik Majundra, respondents. ATTORNEYS: For Claimant appeared Gary A. Hurwitz, Esq. and Denise M. Montgomery, Esq. of the firm March, Hurwitz, DeMarco & Mitchell, Media, PA. For Respondents appeared Brian J. Neville, Esq. in-house counsel for Josepthal & Co., Inc., New Y