Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sol H. Proctor Case No. 99-00580 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES Sol H. Proctor, hereinafter referred to as "Claimant", appeared pro se. For Dean Witter Reynolds, Inc. ("Dean Witter"), hereinafter referred to as "Respondent": Bradford D. Kaufman, Esq. and Joseph C. Coates, III, Esq. of the law firm of Greenber

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kurt O. Blumenthal and Karin A. Blumenthal (Claimants) vs. Everen Securities n/k/a First Union Securities, Inc. and Richard Mele (Respondents). Case Number: 99-00579 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Kurt O. Blumenthal and Karin A. Blumenthal ("Claimants"): Lawrence M. Landsman, Esq. Block and Landsman, Chicago, Illinois. Respondent. Everen Securi

N.A.S.D. REGULATION AWARD NATIONAL A^gOCIAiyON Off ftECUKITTES DEALERS REGULATIpN. INC. CASE: 99-0057$ Stifel, Nico aus & Co., Inc., claimant vs. Thomas York, respondent. ATTORNEYS For Claimant Rebecca S. Respondent DATE FIL tifel, Nicolaus & Co., Inc., appeared L. Chapman Smith, Esq. and Whitehouse, Esq. of the firm, Baker & Botts, L.L.P., Houston, TX. Thomas York, appeared Pro Se., Houston, TX. iD: 02/09/99 CASE SUMMARY

Award ; NASD Regulation,'Inc. In the Matter of he Arbitration Between: Frank C. Forelle Case Number: 99 (Claimant) vs. Citicorp Securities, Inc., (Respondent) -00570 : Hearing Site: New York, New York Claimant, Fran] O'Connor, Esq. REPRESENTATION O39 PARTIES C, Forelle ("Forelle"), hereinafter referred to as "Claimant": Andrew S. New York, NY, Respondent, Cilicorp Securities, Inc. ("Citicorp"), hereinafter referred to as "Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Rick D. Pyant Case No. 99-00569 Names of Respondents Roman Sakharovich Thomas Falantano The Golden Lender Financial Group, Inc. REPRESENTATION OF PARTIES For RickD. Pyant. hereinafter referred to as "Claimant": Lawrence J. Bochat, Esq. of the law officesof Lawrence J. Bochat, P.C., Garden City, New York. On February 10, 2000, JblUfcE.i• .< '• •

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: j George Gleser vs. J.E. Liss & Company, Inc. and Dennis Waisman i Case Number: 99-565 Hearind Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, George Gleser, hereinafter referred to as "Claimant": Gabriel Mendelberg, Esq., New York, New York. ! Respondents, J.E. Liss & Company, Inc. ("Liss") and Deinnis L. Waisman ("Waisman"), hereinafter collectively referred t

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Matthew Pereira, Claimant v. National Securities Corporation and Tamer Youssef, Respondents. Case Number; 99-00564 Hearing Site: NA REPRESENTATION OF PARTIES For Claimant Matthew Pereira: Martin Glickfeld San Francisco, California For Respondents National Securities Corporation Patrick L. Hinton, Esq. and Tamer Youssef HINTON & ROTH Seattle, Washington C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Elizabeth Citrin Pober, (Claimant) vs. Perrin, Holden and Davenport Capital Corp., Brad David Krivit & Jody Joseph Eisenman, (Respondents) Case Number: 00-03316 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Elizabeth Citrin Pober, hereinafter referred to as "Claimant": Louis F. Burke, Esq., Louis F. Burke, PC, New York, NY. Respondents, Perrin, Holde

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00562 Royal Hutton Securities Corp., claimant vs. Trade Advertising, Inc., respondent. ATTORNEYS: For Claimant Royal Hutton Securities Corp., appeared Eden L. Rohrer, Esq., of the firm, Gersten, Savage, Kaplowitz & Fredericks, LLP, New York, NY. For Respondent Trade Advertising, Inc., appeared David E. Neitlich, Esq., Boston, MA. Respondent did not file a Stat

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Edward C, Wang Revocable Living Trust U/A DTD 7/15/94. Claimant vs. Charles Schwab &. Co., Inc., Respondent. Case Number: 99-00560 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Edward C. Wang Revocable Living Trust U/A DTD 7/15/94, hereinafter referred to as "Claimant": Richard Sacks and James J. Sullivan, Esq., Novato, California Respondent, Charles