"NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Charles D. and Elizabeth F. Dahan ^ 96-05796 Name of Respondents Chase Manhattan Investment Services, Inc Hammond H. Han REPRESENTATION Claimants Charles D. and Elizabeth F. Dahan (collectively "Claimants") were represented by Greg S. Friedman, Esq., Roclcville, MD, Respondents Chase Manhattan Investment Services, Inc

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William J. Anderson Jeffrey R. Wood Daniel Porush 96-05795 REPRESENTATION For Claimant William J.Anderson ("Claimant"): Charles Bagley, IV, Esq., Bagley & Rhody, Annapolis, MD Respondents Jeffrey R, Wood ("Wood") and Daniel Porush ("Porush") did not appear. CASE INFORMATION Statement of Claim filed: December 27, 199

AWARD NASD Regulation. Inc.. Office of Dispute Resolution In the matter of the Arbitration Between Name of Claimant fs) Kidder, Peabody & Co., Inc. Arbitration No. 96-05784 Name of Respondent(s) Goldman Sachs & Co. Hilda Arechiga William R. Feiler Reed E. Halladay Marlene Huot Darell L. Krasnoff Gerald E. Measer Todd M. Morgan Thomas M. Schwartz REPRESENTATION For Claimant: Lary Alan Rappaport, Esq., McCambridge,

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Gregory M. Gottschlich 96-05781 Name of Respondents Meyers Pollock Robbins, Inc. Ricky L. Smith REPRESENTATION For claimant Gregory M. Gottschlich ("claimant") appeared Walter Reynolds, Esq. of thfc law offices Porter, Wright, Morris & Arthur located in Daytoh, Oftio. ; i r- r For respondent Meyers Pollock Robbins, Inc. ("MPR") appeared Evan L. Gordon, Es

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert Campbell v. Name of Respondents Meyers Pollock Robbins, Inc. and Jeffrey Wittenberg Arbitration No. 96-05774 REPRESENTATION For Claimants: For Respondents: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answer filed by Respondents

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Ruben Kornfeld vs. Case No. 96-05773 Alex Brown & Sons, Inc. Mark Branigan REPRESENTATION For Claimant Ruben Kornfeld ("Claimant") appeared Kevin P. Conway, Esq. of the law offices of Conway & Conway, located in New York, New York, For Respondent Alex Brown & Sons, Inc ("Alex Brown") appeared Daniel J. Donovan, Esq. Compliance Director and Associate

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants James M. Kane and Marilyn Kane v. Name of Respondents Cruttendon Roth, Inc. Tibor Komoroczy Arbitration No. 96-05772 REPRESENTATION For Claimants: For Respondent Cruttendon Roth, Inc.: Jeffrey L. Gaffney, Esq. Law Offices of Jeffrey L. Gaffney San Diego, California John R. Loftus, Esq. Keesal, Young

N.A.S.D. REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Joshua Slovik 96-05769 Name of Respondents ^Wasserstein Perella & Co., Inc. Wassertein Perella Group, Inc. REPRESENTATION For Claimant Joshua Slovik ("claimant") appeared Robert L. Begleiter, Esq. of the law firm of Constantine & Partners located in New York City, New York. For Respondents Wasserstein Perella & Co., Inc. and Wasserstein Perella Group, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:Oi-01416 Gwyn Staton, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Seattle, WA, For Respondent appeared Karen Smith, Compliance Officer, Rancho Cardova, CA. DATE FILED: March 20, 2001 CASE SUMMARY: Claimant alleged that respondents failed to properly sign her up for an E*Trade airline mileage account. Claimant maintained that respondent sent h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, EMC. CASE: 00-00729 Olde Discount Corporation, Claimant vs. Diane Baroni, Respondent. ATTORNEYS: Claimant, Olde Discount Corporation, ("Claimant"), appeared in-house counsel, Michael P. Knittel, Detroit, MI. Respondent, Diane Baroni ("Respondent"), did not respond to the Statement of Claim. DATE FILED: February 18, 2000 CASE SUMMARY: Claimant alleged that Respondent incurred a debit balance in h