Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Golden, Lender Financial Group, Inc., (Claimant) vs. Leon Jack Vinokur, (Respondent) Case Number: 99-02204 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Golden, Lender Financial Group, Inc., hereinafter referred to as "Claimant": Foster J. Gibbons, Esq., General Counsel, The Golden, Lender Financial Group, Inc., New York, NY. Respondent, Leon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ian R. West, (Claimant) vs. Pacific Cortez Securities Incorporated, Michael DiFrancesca, George H. Malagon, Jr., Harold B.J. Gallison, Alfonso Burgos, and Gregory K. Mehlmann, (Respondents) Case Number: 99-02201 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ian R. West, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., a sole practitioner,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02198 Joan R. Lawrence, claimant vs. David Eubank and Legg Mason Wood Walker, Inc., respondents. ATTORNEYS: Claimant Joan R. Lawrence appeared Pro Se., Potomac, Maryland. For Respondents David Eubank and Legg Mason Wood Walker, Inc. ("Respondents"): Robert J. Smith, Esq., Legg Mason Wood Walker, Inc., Baltimore, Maryland. DATE FILED: May 13, 1999 CASE

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Karen Juran, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 99-02197 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondent: Paul S. Chan, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of Claim filed: Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Golden, Lender Financial Group, Inc., (Claimant) vs. Konstantin Tokar, Leon Jack Vinokur, Jean Olson Brutus, Vintok, Inc., R.M. Stark & Co., Inc., Gary Lester Stark, and Henry Neifeld (Respondents) vs. J,P. Gibbons & Co., Inc., Berkshire Securities, Inc., Foster J. Gibbons, Aron Oleg Bronstein, Tomer Matthew Yuzary, and losif Pak (Third-Party Respondents) Case Number: 99-0

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gerhard and Margarete Lasamnick, JT Claimants v. Richard Post, Respondent Case Number: 99-02192 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Gerhard and Margarete Lasamnick In Pro Per Palm Desert, California For Respondent: Nuviah Shirazi, Esq. A.G. Edwards & Sons St. Louis, Missouri CASE INFORMATION Statement of Claim filed: April

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert Terry Case No. 99-02191 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Richard Lopez REPRESENTATION OF PARTIES For Robert Terry, hereinafter referred to as "Claimant": William T, Kirtley, Esq. of the law firm of William T. Kirtley, P.A., Sarasota, Florida, For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roney & Co., Claimant, Vs. Sabrina M. Silders (O'Malley), Respondent, Vs. Peter W. Powers, Third-Party Respondent. Case Number: 99-02189 Hearing Site: Cleveland. Ohio REPRESENTATION OF PARTIES Claimant Roney & Co. ("Roney") was represented by Jason S. Conti, Esquire, of Honigman, Miller, Schwartz and Conn, LLP, Detroit, Michigan. Respondent/Thir

NASD Re 9 ulatlon - lnc - Office of Dispute Resolution REGULATION ISS Broad Street * 363i Floor ' New York. NY 10004-2193 * 212-S58-44QC ' Fax 212-85S-4339 ftn NASD Conpany S a tell-1e Office af 1735 K Street * 4th Floor ' NW 'Washington, DC 2CC06-; 506 * 202-723-8958 * Fax 202-72S-6952 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-02183 Michael J. Mills, claimant vs. Ameritrade, Inc., re

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between NameofClaii Patricia P. Storey Case No. 00-03529 Name of Respondents Tucker Anthony, Inc. and Daniel P. Kennedy REPRESENTATION OF PARTIES Claimant Patricia Storey ("Claimanf' or "Storey") was represented by John J. Barter, Esq., Boston, Massachusetts Respondents Tucker Anthony, Inc. and Daniel P. Kennedy hereinafter collectively referred to as "Re