N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00758 Donaldson, Lufldn & Jenrette Securities Corporation, claimant vs. Marvin Flynn, respondent. ATTORNEYS: For Claimant Donalsdon, Lufkin & Jenrette Securities Corporation, ("Claimant") David Herschberg, Esq. of Wexler & Burkhart, P.C., Mitchel Field, NY. Respondent, Marvin Flynn ("Respondent") did not respond to the Statement of Claim. DATE FILED: February

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00755 John P. Hyland and Kristin Hyland, claimants vs. American Express Financial Direct (a/k/a American Express Financial Advisors), respondent. ATTORNEYS; For Claimants John P. Hyland and Kristin Hyland ("Claimants"), appeared Vincent Leo, III, Esq., of the Law Offices of Theodore J. Leo, Bloomfield, New Jersey. For Respondent American Express Financial Advi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00753 Fidelity Brokerage Services, Inc., claimant vs. Byron C. Glenn and Amirah D. Glenn, respondents. ATTORNEYS: For Claimant Fidelity Brokerage Services, Inc., appeared Laurence K. Richmond, Esq., of the firm, Laurence K. Richmond & Associates, Quincy, MA. Respondents Byron and Amirah Glenn did not respond to the Statement of Claim. DATE FILED: 2/19/1999

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00752 Fidelity Brokerage Services, Inc., claimant vs. Michael A. Tomaselli, respondent. ATTORNEYS: For Claimant Fidelity Brokerage Services, Inc. ("Claimant"), Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, Quincy, Massachusetts. Respondent Michael A. Tomaselli ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 2/19/1999

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00750 Samuel P. Hinson, Sr. and Vera D. Hinson, claimants vs. Wall Street Access, respondent. ATTORNEYS: Claimant Samuel P. Hinson and Vera D. Hinson ("Claimants"), appeared Pro Se., Petersburg, VA. For Respondent Wall Street Access ("Respondent"), Joseph A. Mendola, Vice President of Compliance for Wall Street Access, New York, NY. DATE FILED: February 19

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Hugh J. p'Donnell, Claimant vs. Fairchild Financial Group, Inc., and Bradley St. Myer, Respondents. Case Number: 99-00749 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant, Hugh J. O'Donnell, "O'Donnell", hereinafter referred to as "Claimant", represented himself. Respondent, Fairchild Financial Group, Inc., "Fairchild", was originally represented by Cl

AWARD NASD Regulation, Inc. CASE: 99-00748 Moses J. Yogaraj, claimant vs. Ameritrade, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se- Adelphi, MD. For Respondent appeared James A. Ricketts- Bellevue, NE. DATE FILED: February 19, 1999 CASE SUMMARY: Claimant alleged Respondent failed to execute a buy order which resulted in claimant having to pay a higher price. Claim Data Award Data Claim: $1,400.00 Award: S.OO Punitive: Unspecifi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES CASE: 99-00747 Fidelity Brokerage Services, Inc., claimant vs. Robert Duquette, respondent. ATTORNEYS: For Claimant Fidelity Brokerage Services, Inc., ("Claimant"), Laurence K. Richmond, Esq. of the Firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent, Robert Duquette, did not respond to Claimant's Statement of Claim. DATE FILED: February 19, 1999 CASE SUMMARY: Claimant all

Award NASD Regulation, Inc. In the Matter jof the Arbitration Between Abraham Beeij (Claimant) vs. Prudential Securities, Inc. and Anthony C. DeVivio (Respondents) Case Number! 99-00745 Hearing Site: New York, New York I REPRESENTATION OF PARTIES Claimant, Abraham Beer, hereinafter referred to as "Claimant": pro se, Brooklyn, New York. Respondents, prudential Securities, Inc. ("Prudential") and Anthony DeVivio ("DeVivio"), hereinafter collectively refer

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Fox Faihily Trust, Claimant v. Everen Securities and Dorothy Peisner, Respondents. Case Number: 99-00735 Hearing Site: Los Angeles, California For Claimant: For Respondents: REPRESENTATION OF PARTIES Jonathan W. Evans, Esq. Law Offices of Jonathan W. Evans & Associates Los Angeles, California Jon L. Rewinski, Esq. Heller, Ehrman, White, & McAuliffe Los Ange