Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Rachmiel, JoanB. Trubenstein, and Bernard Venditti, (Claimants) vs. On-line Investment Services Inc., (Respondent) Case Number: 99-00342 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Rachmiel ("Rachmiel"), Joan B. Trubenstein ("Trubenstein"), and Bernard Venditti ("Venditti"), hereinafter collectively refened to as "Claimants", appeared pro se.

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: Florence Powers as Pers. Rep, 00-03284 Estate of Charles W. Lackey Names of Respondents Hearing Site: American Express Financial Advisors, Inc., Boca Raton, FL Sharon Duncan American Enterprise Investment Services, Inc. REPRESENTATION OF PARTIES For Florence Powers as Pers. Rep. Estate of Charles W. Lackey, hereinafter referred to as "Claimant": Jeffrey S.

NASD DISPUTE RESOLUTION, INC. IN THE MATTER OF THE ) ARBITRATION BETWEEN ) - • ; ...... r ' ' " NAME OF CLAIMANT - .-.:.-. ) ) ABDUL R. PIRACHA ) ) STIPULATED AWARD ) Case No. 99-00339 NAME OF RESPONDENTS ) ) THE BOSTON GROUP, L.P. ) ROBERT A. DIMINICO, ) JOSEPH W. DONOHUE, JR. ) --:- .-• REPRESENTATION OF PARTIES Claimant, Abdul R. Piracha, hereinafter referred to as "Claimant": Richard S. Kraut, Esq., Storch

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ben and Wilhelmina Pijuan, Claimants v. WMA Securities, Inc., World Marketing Alliance, Inc., Art Stein, Eden Stein, Lydia C. Legaspi, Kevin L. Palmer, Mason A. Burnham, and Richard L. Thawley, Respondents. Case Number: 99-00335 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Ben and Wilhelmina Pijuan: For Respondents Art Stein and Eden Stein:

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mitchell Pasquin, (Claimant) vs. Datek Online Brokerage Services Corp. and Datek Securities Corp. (Respondents). Case Number: 99-00329 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Mitchell Pasquin hereinafter referred to as "Claimant": Michael A. Fluetsch, Esq., Stockton, California. Datek Online Brokerage Services Corp. and Datek Securities Corp. hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harris Trust Company of New York, (Claimant) vs. Bear Stearns & Co., Inc. and Sunrise Securities Corp., (Respondents) vs. Alfred I. Anzalone (Third-Party Respondent) Case Number: 99-00328 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Harris Trust Company of New York, hereinafter referred to as "Claimant": James A. Arpaia, Esq., Esq., Vedder, Price, Kaufma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Alan S. Fellheimer & Judith Fellheimer Case No. 99-00327 Name of Respondents Bear Stearns & Co., Inc. Michael C. Nolan Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants, Alan S. and Judith Fellheimer ("Claimants") were represented by Stuart J. Guber, Esq. of the law firm of Berger & Montague, P.C., Philadelphia, PA. Res

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Larry and Penny Seick, Claimants v. Financial Goal Securities, Inc., Kocen Financial Group, Inc., Gail G, Kocen, Bryan S. Kocen, Jo Ann Kocen, and Joel Kocen, Respondents. Case Number: 99-00318 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents Financial Goal Securities, Inc., Gail G. Kocen, Bryan S. Kocen, Jo Ann Kocen, and Joel

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Shane Kinahan, (Respondent) Case Number: 99-00306 Hearing'Site: New York, NY REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Kenilworth NJ. Respondent, Shane Kinahan, hereinafter referred to as "Respondent" appeared pro se. CASE INFORMATION Statement

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00302 Neil Blackstone, claimant vs. Jeff Atamanuk and Whale Securities Co., respondents. ATTORNEYS: Claimant Neil Blackstone ("Claimant") appeared Pro Se., DeKalb, Illinois. For Respondent Whale Securities Co. ("Whale Securities"), David S. Richan, Esq., Tenzer Greenblatt, LLP, New York, New York. Respondent Jeff Atamanuk ("Atamanuk") did not respond to the St