Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Mark A. Beiler Mona A. Henri Case No. 00-04595 Names of Respondents Prudential Securities, Inc. Roger Lynn Overby Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Mark A. Beiler ("Beiler") and Mona A. Henri ("Henri"), hereinafter collectively referred to as "Claimants": Robert Persante, Esq. of Persante & McCormack, P.A., Clearwa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul Wong 95-01035 Name of Respondent Stratton Oakmont Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1995, Claimant Paul Wong, who appeared Pro Se, alleged that Respondent Stratton Oakmont, Inc. sold his Dr. Pepper/Seven Up ("DPS") stock without authorization. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul Wong 95-01034 Name of Respondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filled with the National Association of Securities Dealers, Inc. on February 27,1995, Claimant, Paul Wong, who appeared Pro Se, alleged that Respondent, Stratton Oakmont, Inc., purchased stock for.his account .without authorization. Claimant fu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Claude and Donna Jo Thompson Individually and as Trustees UTA DTD 2/5/91 95-01029 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Thomas A. Blubaugh REPRESENTATION For Claimants: Allan J. Fedor, Esq. and Franell Fedor, Esq. of the law firm of Fedor & Fedor, Largo, Florida. For Respondents: Scott J. Link

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Mary Dolshun v. 95-01026 Name of Respondents M. Rimson & Company, Inc, Chris Kovacevich REPRESENTATION Claimant, Mary Dolshun, appeared pro se. Respondents, M. Rimson & Company, Inc. and Chris Kovacevich, did not appear at the evidentiary hearing conducted in this matter. PSFQRMATIQN Statement of Claim filed: March 20,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-01011 Name of Respondent Scott R. Beard REPRESENTATION For Claimant: Joseph F. Generelli, Esq., of PaineWebber Incorporated, of Weehawken, New Jersey. The Respondent appeared pro se. CASE INFORMATION Statement of Claim filed: February 27, 1995. Claimant's Submission Agreement signed on: February

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sundaram Ravikumar 95-01000 Name of Respondents D.H. Blair & Company Alex I. Salm REPRESENTATION For Claimant Sundaram Ravikumar ("Claimant") appeared Lawrence R. Gelber, Esq., of the law firm of Beigel, Schy, Lasky, Rifkind, Goldberg, Fertik & Gelber, located in New York, New York. For Respondents D.H. Blair & Company

AWARD NASD Regulation, Inc Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gerald P Dulski and 95-00995 Name of Respondent Gruntal & Co., Inc, Howard Silverrnan Barry Richter Robert Sablowsky ? REPRESENTATION OF PARTIES ;Gerald P. Uulski ("Claimant") was represented by Stanley;Mi Ackert; III of Blum, Gruntal & Co., Inc. ("Respondent") was represented by Gregg Weiner of Fried, Frank;^Harris;;

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank Sakolari, and Ekaterina Sakolari, Claimants, v. No. 95-00984 OLDE Discount Corporation, and Rick Rizzo, Respondents. REPRESENTATION OF PARTIES Frank Sakolari and Ekaterina Sakolari ("Claimants") were represented by Carl J. Koster, Esq., of Villa Park, Illinois. OLDE Discount Corporation ("QDC"), and Rick Rizzo ("Rizzo") (or coll

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Castronovo 95-00980 Name of Respondent Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1995, Claimant John Castronovo ("Claimant") who appeared Pro Se, alleged that in December of 1988, Respondent Smith Barney Shearson, Inc. ("Respondent")