NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-05300 Olde Discount Corporation, claimant vs. George & Ted Apostolopoulos, respondents. ATTORNEYS: For claimant appeared Aaron L. Kleid, Esq., in house counsel for Olde Discount Corporation, Detroit, Ml. Respondents did not respond to the Statement of Claim. DATE FILED: November 24, 1999 CASE SUMMARY: Claimant alleged that respondents failed to repay the debit balance on their

or o^c\n>.-i AS/- 7/s;< Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Aristides Bantis, (Claimant) vs. New Times Securities Services, Inc., Samuel Contstantis, Andrew W. Holtmeyer, Carl J. Holly, Michael J. Silk, and Maria L. Minguez, (Respondents) Case Number: 99-05299 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Aristides Bantis, hereinafter referred to as "Claimant": Marc Ross, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Perex Proprietary Ltd., (Claimant) vs. Roan Capital Partners, LP, Daniel J. Subarsky, Robert J. O'Brien, Tim Doran, and Jeff Orenstein, (Respondents) Case Number: 99-05297 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Perex Proprietary Ltd., hereinafter referred to as "Claimant": Brian H. Reis, Esq., Brian Reis & Associates, New York, NY. Respondents

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ines Muhlfield, (Claimant) vs. Fidelity Brokerage Services, Inc. (Respondent) Case Number: 99-05296 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Ines Muhlfield, hereinafter referred to as "Claimant": James Geist with Power of Attorney for Claimant, New York, NY. Respondent Fidelity Brokerage Services, Inc., hereinafter referred to as "Respondent": Mi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: #99-05293 Genevieve Lewandowski, claimant vs. Mutual of Omaha Investor Services, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Southampton, NJ. Respondent appeared through its Vice President, Finance and Treasurer, William J. Bluvas, Omaha, NE. DATE FILED: 11/22/99 CASE SUMMARY: Claimant alleged that respondent charged a surrender fee, which was not applicable, when she

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05292 Ameritrade, Inc., claimant vs. Steven Noh, respondents. ATTORNEYS: For Claimant appeared in-house counsel, Eric E. Hamilton, Esq., Bellevue, NE. Respondent did not respond to the Statement of Claim. DATE FILED: November 24, 1999 CASE SUMMARY: Claimant alleged that the respondent failed to pay an unsecured debit balance in his account and all attempts to collect the balance wa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond M. Congelosi and Maurizio Rossitto (Claimants) vs. Morgan Stanley Dean Witter, Inc. and Thomas Bivona, (Respondents) Case Number: 99-05291 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Raymond M. Congelosi ("Congelosi") and Maurizio Rossitto ("Rossitto"), hereinafter collectively referred to as "Claimants": Howard M. Rosenfield, Esq., Hartford,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Szazi, Beral Inc., Maya C. Likar, Andrew Racz, Quaestor RTS, and Quaestor USA, (Claimants) vs. Raymond Dirks, Jesse Dirks, Dirks & Co., Security Capital Trading Inc., and Milton Netcher, (Respondents) Case Number: 00-05558 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Frank Szazi ("Szazi"), Beral Inc. ("Beral"), Maya C. Likar ("Likar"), Andrew Racz

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Allan Eisenkraft (Claimant) v. Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. (Respondent) Case Number: 99-05286 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Allan Eisenkraft ("Eisenkraft") hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmington, CT. Respondent Prudential

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adrian J.R. Oosthuizen, Claimant vs. Bear, Stearns & Co., Inc. and Jedd F. Dunas, Respondents Case Number: 99-05281 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Adrian J.R. Oosthuizen For Respondents: Bear, Stearns & Co., Inc. ("Bear Stearns") Dunas ("Dunas") Glenn E. Westreich, Esq. Lillick & Charles LLP San Francisco