Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael John Lawroski Case No. 99-00489 Name of Respondent NationsBanc Montgomery Securities, LLC REPRESENTATION OF PARTIES For Michael John Lawroski, hereinafter referred to as "Claimant": Ira Lee Sorkin, Esq. of the law offices of Squadron, Ellenoff, Plesent & Sheinfeld, LLP, New York, New York. For NationsBanc Montgomery Securities, LLC, hereinaf

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00483 Rosejane O'Reilly, claimant vs. PNC Brokerage Corp., respondent. ATTORNEYS: Claimant appeared Pro Se. 7 Elmhurst, NY. For Respondent PNC Brokerage Corp., appeared Thomas K. Lammert, Jr., Esq., Pittsburgh, PA. DATE FILED: February 2, 1999 CASE SUMMARY: Claimant alleged that respondent prevented her from initiating stock trades in her accou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Phyllis K. Steinberg, as Executrix of the Estate of Esther Krivin, (Claimant) vs. Gary Goldberg and Gary Goldberg & Company, Inc., (Respondents) Case Number: 99-00482 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Phyllis K. Steinberg, as Executrix of the Estate of Esther Krivin, hereinafter collectively referred to as "Claimant": Abram Steinberg, Esq., Steinbe

N.A.5.D, REGULATION AWARD or ^ 1 " -^* ftgn AT CASE: 99-00491 Indet Pwkish rod Anindhfti PerUfch. cUinuals vs. Investors Associates. Tnc , Vincent GTWWJ. and Doug Mangan. respondents. ATTORNEYS: Claimants Under Perkash and Awndhati Pcrtaih appealed fro So.. Stanford. invftton AwwUto, Inc.. Tortn Grcencpan rCtcenspan"). Vncent Greico, awl Oou| M»ng»n (effectively. 'RespOMferts"). 4kl t^t respond to the Statement of Claim. DATE HLE

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Lee A. Wolpov as Beneficiary of Fahnestock & Company Incorporated, Custodian for Harold Wolpov under IRA Account Number A87-7701274-T55 Case No. 99-00480 Name of Respondent Fahnestock & Company, Incorporated REPRESENTATION OF PARTIES For Claimant Lee A. Wolpov as Beneficiary of Fahnestock & Company Incorporated, Custodian for Harold Wolpov under IRA

In the Matter of the Arbitration Between Name of Claimant Jeffrey W. Rauff vs. Name of Respondents Josephthal & Co., Inc. Robert Tractenberg NASD REGULATION, INC. STIPULATED AWARD NASD # 99-00478 REPRESENTATION OF PARTIES Jeffrey W. Rauff ("Claimant") was represented by Lewis H. Rosenbaum. Esq. of the Law Offices of Lewis H, Rosenbaum New York, New York. Josephthal & Co., Inc., ("Respondent Josephthal") and ("Respondent Tractenbe

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James Smith Case No. 99-00476 Names of Respondents GKN Securities Corp. Robert Daniel Mclntyre REPRESENTATION OF PARTIES For Claimant James Smith, hereinafter referred to as "Claimant": Samuel T. Brannan, Esq. of the law firm of Wilson, Strickland & Benson, P.C., Atlanta, Georgia. For Respondents GKN Securities Corp. ("GKN") and Robert Daniel Mclntyre (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert T. Murtagh Case No. 99-00474 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Robert T. Murtagh ("Murtagh"), hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Delray Beach, Florida. For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), hereinafter referred to as "R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fu Luan, Claimant v. Bluestone Securities, Inc., Hong Yi Sun, Changyan Zhao, Mark Cheng- Pin Lee, Marshall Chen, Amerivet Securities, Inc., Elton Johnson, Jr., David Clinton Wade, and David Hughes Giauque, Respondents. Case Number: 99-00473 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael E. Friedman, Esq. Law Offices of Michael E. Friedman

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kathleen Yacoe-Hughes, (Claimant) vs. Janney Montgomery Scott, Inc., (Respondent) Case Number: 99-00472 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Kathleen Yacoe-Hughes, hereinafter referred to as "Claimant", appeared pro se. Respondent, Janney Montgomery Scott, Inc., hereinafter referred to as "Respondent": Paula D. Shaffer, Esq., Saul, Ewing, Remick & Saul LLP, P