NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04249 Deborah Dimaggio, Claimant vs. Peter Dimaggio, Respondent. ATTORNEYS: Claimant, Deborah Dimaggio, ("Claimant"), appeared Pro Se., North Tonawanda, NY. Respondent, Peter Dimaggio, ("Respondent"), did not respond to the Statment of Claim. DATE FILED: November 11, 1998 CASE SUMMARY: Claimant alleged that Respondent engaged in unauthorized and excessive trading in her account. Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William T. Walborn, Claimant Case Number: 99-04237 Vs, Hearing Site: Cleveland, Ohio Aetna Life Insurance & Annuity Company, Respondent. REPRESENTATION OF PARTIES C. Randolph Light, Esquire, of Rohrbachers, Light, Cron, Zmuda & Trimble Co., L.PA, Toledo, Ohio, represented Claimant William T. Walborn ("Walborn"). Thomas R. Kraemer, Esquire, of Faruki, Gilliam &

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: RAYMOND P. CLARK, Claimant, v. Hearing Site; Southfield, Michigan DONALD TERNS, Respondent. Case Number: 99-4222 REPRESENTATION OF PARTIES Claimant, Raymond P. Clark ("Clark"), hereinafter referred to as "Claimant": Thomas J. Kenny, Esq., Raymond & Prokop, P.C.,Southfield, Michigan Respondent, Donald Terns ("Terns"), hereinafter referred to as "Respondent":Dennis J. Levasseur,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Solis vs Case Number: 99-04218 Hearing Site: Houston, Texas Names of Respondents Global Financial Group, Inc., Steven C. Staltare, and Steven C. Cirillo and Names of Cross-Claimants Global Financial Group, Inc. and Steven C. Staltare vs Name of Cross-Respondent Stephen C. Cirillo NATURE OF DISPUTE Customer v. Termina

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of (Claimant Patrick M. Egan Case No. 99-04216 Name of Respondent UBS PaineWebber, Inc. Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimant Patrick M. Egan ("Claimant") was represented by H. Marc Tepper, Esq., Buchanan IngersoU, P.C., Philadelphia, PA. Respondent PaineWebber, Inc. ("Respondent") was represented by Amy Bard, Esq.S Ridge, NJ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Philip Gottlieb and Helene Gottlieb, (Claimants) vs. National Securities Corporation and Jacob Wonsover, (Respondents) Case Number: 99-04214 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Philip Gottlieb ("P. Gottlieb") and Helene Gottlieb ("H. Gottlieb"), hereinafter collectively referred to as "Claimants": Brian W. Shaughnessy, Esq., Shaughnessy, Volze

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pase Number 99-042 1 3 L. R. Castelein Name of the Respondents Hparintr Site- Charlotte, North Carolina Bear Steams & Co., Inc., Bear Stearns Securities Corp., Douglas W. Reid, and Corporate Securities Group, Inc. n/k/a Wachovia Securities Financial Network, Inc. RFPRFSFMTATTON OF PARTTFS Claimant L.R. Castelein, hereinafter referred to as "Claimant", was represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kathy Phelps and David H. Gaskin, Richard Coomer, Lola M. and George A. Coomer, Lisa S. and Dennis R. Loy, Terry P. Harvey, Judy and James E. Watson, Mary B. and William R. Phelps, and Eula Loy, Claimants Vs. Danny L. Coomer, Fortis Investors, Inc., and CUNA Brokerage Services, Inc., Respondents Case Number: 99-04206 Hearing Site: Louisv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Hijjgins, John Fagot, Arlene Schmimmer, Ray Blumer, S & V Associates, Alan Dillenberg, Yesterday Amusement Co., Inc., Phil Virga, Cliff Mastricola, John Bascom, Neil T. Callaway, Robert Davison, John Franz, Don Gustafson, Dennis Goldman, Mark Lacob, Paul Mental, and Craig Birkelbach, Claimants v. The Boston Group, Brookehill Equities, Inc. and Joseph M. Salvani, Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05473 Summit Financial Services Group, Claimant vs. Jennifer E. Dove, Respondent. ATTORNEYS: Claimant, Summit Financial Services Group, appeared through its in-house counsel, Christopher Maurer, Bethlehem, PA.. Respondent, Jennifer E. Dove, did not respond to the Statement of Claim. DATE FILED: December 11, 2000 CASE SUMMARY: Claimant alleged Respondent unjustly profited from Claim