N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincent Mongno Dianne Borden 96-03449 Name of Respondents Donson Gene Brooks Harold BailyGallison La Jolla Capital Corp. Claimants Vincent Mongno ("Mongno") and Dianne Borden ("Borden") appeared pro se. Respondent Donson Gene Brooks ("Brooks") was represented by Tracy Pride Stoneman, Esq. of Susemihl & McDenuott, P.C.,

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wilmington Brokerage Service Company 93-00853 Name of Respondent James G. Wagner REPRESENTATION Claimant Wilmington Brokerage Service Company ("Claimant 1 ') was represented by J. Michael Christopher, Esq. of the Legal Division of Wilimington Trust Company. Respondent James G. Wagner ("Respondent") did not appear no

N.A.S.D. AWARD NATIONAL ASSOCIATION OF_gE;CURITTES DEALERS. INC... In the matter of the Arbitration Between Name of JTlaimant: (s) Errol Reiter of ResTDOndent (s} NASD Arbitration No. 95-01708 Prudential Securities, Inc. Meyer H. Berk For Claimant: Jack Dozier, Esq., Atherton & Dozier, Stockton, California For Respondents: William Freilich, Esq., Prudential Securities, Inc., New York, New York CASE INFORMATION Statement of Cl

NATTDNAT. ASSOTTATinN OF SF.CURTTTFS DF.AT.F.RS TNC In the matter of the Arbitration Between nf Claimant Sartaj N. Khan NASD Arbitration No. 95-00801 Nayne nf Respondent Kennedy, Cabot & Co. For Claimant : Sartaj N. Khan, In Pro Per For Respondent : George Kupper, Esq., Kennedy, Cabot & Co. Beverly Hills, California TASK Statement of Claim filed: February 16, 1995 Claimant's Submission Agreement signed: February 10, 1995 Statemen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Manuel Selya Revocable Trust and Manuel Selya IRA, Claimants v. Barington Capital Group, L.P., and Scott David Bobrow and Marc Gary Katz, Respondents Case Number: 99-02252 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Michael Huberman, Esq. Michael Huberman and Associates, Securities Arbitration Consultants La Quinta, California For Respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation, Claimant v. Gregory Royal, Respondent Case Number:. 99-02059 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Mitch Albert, Esq. Albert & Will Torrance, California For Respondent: Gregory Royal In Pro Per Onalaska, Wisconsin CASE INFORMATION Statement of Claim filed: April 30, 1999 Claimant's Uniform Submi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Erika A.S. Dunn and Naomi A.S. Dunn, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) Case Number: 99-02250 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Erika A.S. Dunn and Naomi A.S. Dunn, hereinafter collectively referred to as "Claimants": Eric A. Klein, Esq., New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Russell Guastucci and Shelley Hyde Guastucci, (Claimants) vs. Discover Brokerage Direct, Inc.; and its Successor, Morgan Stanley Dean Witter Online, Inc., (Respondent). Case Number: 99-02824 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimants, Robert R. Guastucci and Shelley H. Guastucci, (hereinafter collectively referred to as "Claimants"): In Pro Per, 129 Dar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janet Basil, (Claimant) vs. Salomon Smith Barney and Matthew Zimmerman, (Respondents) Case Number: 99-02829 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Janet Basil, hereinafter referred to as "Claimant": Mary Ann Stokes, Esq., Cohn Lifland Pearlman Herrmann & Knopf LLP, Saddle Brook, NJ. Respondent, Salomon Smith Barney ("Salomon"): Etta M. Gumbs, Esq.

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louise M. Smith, IRA, Claimant v. The Golden, Lender Financial Group, Inc. n/k/a J.P. Gibbons & Co., Inc., Roman Sakharovich, Konstantin Tokar, Foster J. Gibbons, Alexander Bienenstock, Kenneth R. Lauher, Maroun D. Mansour, Tomer M. Yuzary, Earl J. Swan, ffl, Richard O. Freedman, George C. Danas a/k/a George C. Damas, Aron O. Bronstein, and Andrew Reegen, Respondents C