N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02895 Gene Piscitelli, claimant vs. Vanguard Brokerage Services, a division of Vanguard Marketing Corporation, respondent. ATTORNEYS: Claimant Gene Piscitelli ("Claimant") appeared Pro Se, Lindenwold, NJ. For Respondent Vanguard Brokerage Services, a division of Vanguard Marketing Corp., ("Respondent") appeared in-house counsel Pauline C. Scalvino, Esq., Valle

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara K. Lynch and 98-00731 Name of Respondents * Meyers Pollock Robbins, Inc., Michael Ploshnick, Harry Scott Barbers, Bruce Harvey Barbers REPRESENTATION OF PARTIES Barbara K. Lynch ("Claimant") appeared on her own behalf. Meyers Pollock Robbins, Inc. ("MPR") was not represented and failed to appear in this arbitration. Michael Ploshnick

STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS _ / In the Matter of the Arbitration Between: PAINEWEBBER INCORPORATED, NASD Claimant, CASE NO. 98-00647 and ROBERT FRONJIAN, Respondent. REPRESENTATION OF PARTIES For Claimant Paine Webber Incorporated appeared Lisa Catalano Tillem of Paine Webber Incorporated in Weehawken, New Jersey. Respondent Robert Fronjian appeared pro se. CASE INFORMATION The Statement of Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. AWARD CASE: 98-00623 F. Allen Lewis, Claimant vs. Sauceda & Granville Securities, Inc., Respondent ATTORNEYS; For Claimant: Joshua Magidson, Esq. of MacFarlane, Ferguson & McMullen, P. A., Clearwater, Florida. For Respondent: Cynthia King Sadick, Esq. of The Law Office of Cynthia Sadick, P.A., Boulder, Colorado. DATE FILED: February 18,1998. CASE SUMMARY; Claimant alleged that a representative

AWARD Iflfl? fflP- Office °f Dispute Resolution In the Matter of the Arbitration Between Winnie Wing-Lai Ng and Shu Yau Yeung, Joint Tenants, Claimants, and American Asian Investment, Incorporated, Respondent. Case No. 98-00379 (Consolidated with 98-01832 below) Wai-YeeLau, Claimant, and American Asian Investment, Incorporated, Walter Chen and Pao-Shu Ho, Respondents. Case No. 98-01832 (Consolidated with C

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William Riccard 98-00336 Name of Respondent Prudential Insurance Company of America REPRESENTATION For Claimant: H. Robert Dowd, Esq. of the Law Offices of H. Robert Dowd, Altamonte Springs, Florida. For Respondent Prudential Insurance Company of America ("Respondent"): Amy L. Bess, Esq., Sonnenschein Nath & Rosenthal, Washington, D.C. CASE INFORMAT

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: W. Gary Crider, Claimant v. Keith Grossman, Robert Nock, Herman Epstein, Lawrence J. Penna, Robert Conforte, Vincent Grieco, Douglas Mangan, Todd Peterson, Investors Associates, Inc., and Prudential Securities, Inc., Respondents. Case Number 98-00301 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant W. Gary Crider: James A. Sigler, Esq. Attorney

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Mildred F. Sudduth v. Arbitration No. 98-00257 Name of Respondents Bear, Stearns & Co., Inc., Brian Scanlon, Jordan Belfort, Daniel Porush, Kenneth Greene, and Jordan Shaman REPRESENTATION For Claimant Mildred F. Sudduth: Lawrence J. Bochat, Esq. Bochat & Keenan, P.C. Garden City, New York For Respondent Jordan Belfort: Franklin D. Ormsten,

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 97-06046 Name of Respondent David A.V. Carter AWARD Romaine L. Gardner, counsel for Claimant PaineWebber Incorporated and Charles Clayton, counsel for Respondent David V. Carter, hereby stipulate to damages in the amount of Three Hundred Ninety Five Thousdand Four Hundred Fifty One Dollars and Ninety Three Cents ($395,451.93

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Estate of Dorothy Marangi, (Claimant) vs. Royal Alliance Associates, Inc. and First Montauk Securities Corp., (Respondents) vs. Henry Wasik (Third Party Respondent) Case Number: 97-05904 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Estate of Dorothy Marangi, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Morristown, NJ. Respondent Royal Alliance