03/07/1999 14:15 201714738*1 EICHARD DEVITA NASD REGULATION, INC. AWARD OCT1CE OF DISPUTE RESOLUTION In the Matter of die Arbitration Between Name Shirley Levinc 96-00504 Smith Barney Inc. Joseph Marc B]um*mhai REPRESENTATION For Claimant Shirley Uvine, ("claimant") appeared Richard D. DeVita, Esq., Hobokcn, New Jersey. For Respondent Joseph Marc BlumenrtaJ ("Bluraenthal") appeared Michael F. Bachner, Esq., New York, New York, Blumembal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-00499 Name of Respondent David M. Moore REPRESENTATION For Claimant, Dean Witter Reynolds, Inc. "(DWR"): Michael S. Taaffe, Esq., of Abel, Band, ' Russell, Collier et al., Sarasota, Florida. For Respondent, David M. Moore ("Moore"): pro se (see "Other Issues") CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Frank Muccia v. Name of Respondents BA Investment Services, Inc. and ITT Hartford/Putnam Investments NASD Arbitration No. 96-00493 REPRESENTATION For Claimant: Frank Muccia , in pro per For Respondents: Michael B. Tannatt Bank Of America N.T. & S.A. Los Angeles, California David S. Pickett, Esq. ITT H

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-00491 Name of Respondent John A. Stock Claimant Dean Witter Reynolds, Inc. ("Claimant") was represented by Marc S. Wenger, Esq., Jackson, Lewis, Schnitzler & Krupman, Woodbury, NY. Respondent John A. Stock ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was f

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants James and Colleen Burl 96-00488 Name of Respondents Josephthal Lyon & Ross Inc. Dean Lobrutto Michael Riorden Mathews, Holmquist & Assoc. REPRESENTATION For claimants James and Colleen Burt ("claimants") appeared their representative Philip Raible, Esq. of the law firm Squadron, Ellenoff, P

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Frank F. Goodman individual/IRA Frank F. Goodman as Trustee for Tappins Employees' Profit Sharing Trust Fund 96-00486 Name of Respondents First Institutional Securities, LLC Alan Irwin Cohen REPRESENTATION Claimant Frank F. Goodman ("Goodman") appeared Pro Se. For respondents First Instituti

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Chae Yoo Case No. 00-05376 ABN AMRO Inc. Rendelle A. Yzer Timothy P. Stocker Andrew R. Bellamah Richard J. Schubert Bellamah Neuhauser & Barrett, Inc. David R. Carroll Hearing Site: Washington, B.C. REPRESENTATION < ">*? PA Claimant, Chae Yoo ("Yoo"), hereinafter referred to as "Claimant": Robert A, Quiqley, Esq., Attorney at Law, Washington, D.C.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Elizabeth M. Ritchey, Jane R. Kellogg and Linda R. Dohrmann acting as the Personal Representatives of the Estate of Elizabeth T. Ritchey NASD CASE NO. 96-00485 Names of Respondents Dean Witter Reynolds Inc. and James Zientara REPRESENTATION For Claimants: Neal J. Hurwitz, Esq. and James G. Simms, Esq. of the Law Offices of Neal J. Hurwitz, New Yor

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Antone W. Nocero, PaineWebber, Inc., and David B. Rees, and PaineWebber, Inc., David B. Rees, Claimant, v. Respondents, Cross-Claimant, v. No. 96-00484 Cross-Respondent. REPRESENTATION OF PARTIES Claimant Antone W. Nocero ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman Trogan Young & Schloss, PC, lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Gaimant GKN Securities Corp. 96-00483 Name of Respondent Raul Montero CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February I, 1996, Claimant GKN Securities Corp. ("Claimant"), through its representative and in-house counsel Katherine Nathan, Esq., alleged that on or about October 4, 1994, R