AWARD NASD Regulation, Inc. - In the Matter of the Arbitration Between H. Greene & Company Profit Sharing Plan Claimant, v. . 98-00031 -Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent. REPRESENTATION OF PARTIES Claimant H. Greene & Company Profit Sharing Plan ("Green") was represented by Paul D. Frenz, Esq. of McBride, Baker & Coles located in Chicago, Illinois. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch")

JflN.E4.1999 10:08flM NO.776 P.9 i - AWARD NASD Regulation, Inc. la the Matter of the Arbitration Between nf Cfoi Gloria C. Wiley NASD CASE NO. 98-00027 Names of Respondents Josephthal, Lyon & Ross, PCM Securities, Ltd., L.P., First Affiliated Securities, ' Northeast Securities, Inc., and Melvin Forman REPRESENTATION For Qaimant: John R. Kleiner, Jr., Esq. of Riden, Earte & Kiemer, P.A., St. Petersburg, Florida- rK^ •

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Hariharan G. Iyer v. Name of Respondent Datek Securities Corp. Arbitration No. 98-00024 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Hariharan G. Iyer In Pro Per Diamond Bar, California Craig R. Bockman, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald, LLP Los Angeles, California CASE INFORMAT

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants First of Michigan Corp. n/k/a Oppenheimer & Co., Inc., and Fahnestock & Co., Inc. n/k/a Oppenheimer & Co., inc. and Names of Respondents Robert W. Baird & Co., Inc. Robert Stanczak, Rex Stanczak, Frederick Trudo, William Phillips, Bruce Dunbar t Patty Dawson, and Terri Metter Case Number: 98-00023 Hearing Site: Southfield, Mi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between John D. Manske, Claimant; v. No. 98-00021 Anthony G. Gilchrist, and Sands Brothers & Company, LTD.. Respondents. REPRESENTATION OF PARTIES Claimant John D. Manske (''Claimant") was represented by Mark E. Sanders, Esq. and Mary Beth Peranteau, Esq. of Hailing & Cayo, S.C. located in Milwaukee, Wisconsin. Respondent Anthony G. Gilchrist ("Gilchrist") was represented by Jo

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Donald Krekelberg, Bernette Krekelberg, . Evelyn G. Temus by POA, and Judy Adams : . and 98-00019 Name of Respondents . The Equitable Life Assurance Society of the United States . " AnsulaLiu - Emphasys, Inc. Pioneer Consulting & Technology, Inc. REPRESENTATION OF PARTIES Donald Krekelberg, Bernette Krekelberg, Evelyn C. Temus by POA and Jud

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Seshagiri Rao Mallampati, (Claimant) vs. George M. Faherty, (Respondent) vs. Landmark International Equities and Howard B. Berger, (Third Party Respondents) Case Number: 98-00018 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Seshagiri Rao Mallampati, hereinafter referred to as "Claimants" appeared pro se. Respondent,.George M. Faherty ("Faherty"), hereinafter

Award NASD Regulation, It to die Matter of the Arbitration Between! Walter Brown, Claimant vs. Rnsscll Addeasi, Respondent ; Case Number: 98-00016 • New York,;N«w York PARTIES Qalmant Walter Brown "Qatoaht" appeared pro se. Respondent Russell Addessi appealed pro se. 1 CASEINFQRM TIQH Statement of Claim filed OP or afeout signed the Uniform Submi&ion Agreement; January 2, December 27> 1997, Respondent did not submit a

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Rose L. Alfano vs. CASE 98-00013 Name of Respondent Joseph Dortona REPRESENTATION Claimant, Rose L. Alfano, hereinafter referred to as "Claimant": Neil B. Fang, Esq, North Woodmere, New York Respondent, Joseph Dortona, hereinafter referred to as "Respondent" did not appear. • - 'CASE INFORMATION • . .: • - . . ' . - -

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-01745 Derrick Banks & Associates Names of the Respondents Hearing Site: Atlanta, Georgia Fin-Atlantic Securities, Inc. Edward Catsos Marc Goldberg REPRESENTATION QF PARTIES For Derrick Banks & Associates ("Banks") hereinafter referred to as "Claimant": Daniel I. Maclntyre, Esq. and Samuel T. Brannan, Esq. of Shapiro Fussell Wedge Smotherman Martin &