Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Janney Montgomery Scott Inc. NASD Case No. 99-00249 Hearing Location: Philadelphia, PA Name of Respondent James A. Litras REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott Inc., hereinafter referred to as "Claimant," was represented by Joseph J. Dougherty, Esq., West Chester, Pennsylvania. Respondent James A. Litras, hereinafter referred to as

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant The Estate of Tito Augustine Rainieri Case No. 99-00248 Name of Respondents Salomon Smith Barney Inc. Peter J. Katevatis REPRESENTATION OF PARTIES Claimant, The Estate of Tito Augustine Rainieri ("Claimant), was represented by Eric J. Pritchard, Esq., of the law firm of Tannenbaum & Chanin, LLP, Philadelphia, PA. Respondents Salomon Smith Barney Inc. ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Maria E. Myers vs. Case No. 99-00243 Name of Respondents Gruntal& Co., L.L.C. Kenneth (aka Troy) Lowman REPRESENTATION OF PARTIES Claimant, Maria E. Myers, hereinafter referred to as "Claimant": Daniel J. Dugan, Esq., Spector Gadon & Rosen, Philadelphia, Pennsylvania Respondents, Gruntal & Co., ("Gruntal") and Kenneth (aka Troy) Lowman ("Lowman"), h

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. MacArthur, Claimant v. M.L. Stem & Go., Inc. and Ryan Lee Belmer, Respondents Case Number: 00-03273 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Arthur S. Leider Investors Arbitration .Specialists, Inc. San Diego, California James D. Portman, Esq. M.L. Stern & Co., LLC Beverly Hills, Calif

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00242 Rudolph Primuth, claimant vs. Bluestone Capitol Fanners, L.P., respondent. ATTORNEYS: Claimant, Rudolph Primuth, appeared Pro Se., Racine, WI. For Respondent, Bluestone Capital Partners, L.P., appeared David S. Richan, Esq. of the firm Tenzer Greenblatt, L.L.P., New York, NY. DATE FILED: 01/20/99 " " " " ~~ CASE SUMMARY: Claimant alleged that when on

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00241 Sharon Klinger, claimant vs. Albert Kelsey and Guardian Investor Services Corporation, respondents. ATTORNEYS: Claimant, Sharon Klinger ("Klinger"), appeared Pro Se., Anacortes, WA. Respondent, Albert Kelsey ("Kelsey"), appeared Pro Se., Seattle, WA. Respondent, Guardian Investor Services Corporation ("Guardian"), did not respond to Claimant's Statem

7 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC; CASE:99-00239 Cedric M. Swirsky, claimant vs. Century City Securities, Inc, respondent. ATTORNEYS: Claimant Cedric M. Swirsky appeared Pro Se. s Laguna Niguel, California. For Respondent Century City Securities, Inc., appeared James, A. Shalvoy, Esq., Manhattan Beach, California. Respondent did not respond to the Statement of Claim. DATE FILED: 01/20/1999

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cynthia, Steven, and Robyn Slater, (Claimants) vs. Gilford Securities, Inc. and Robert Goodfriend, (Respondents) Case Number: 99-00238 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Cynthia, Steven, and Robyn Slater, hereinafter collectively referred to as "Claimants": Marc S. Gottlieb, Esq., Beckman, Millman & Sanders, LLP, New York, NY. Respondents, Gilford Secu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00236 Rajesh Naik and Bhanuben Naik, claimants vs. Advance Clearing Inc., Ameritrade, Inc., and Knight Securities, respondents. ATTORNEYS: Claimants Rajesh Naik and Bhanuben Naik appeared Pro Se., Trumbull, Connecticut. For Respondents Advance Clearing Inc. ("ACI"), and Ameritrade, Inc. ("Ameritrade"), James A. Ricketts, Vice President of Ameritrade, Inc., Bel

AWARD NASD Regulation, Inc. CASE: 99-00235 Calvin Family Living Trust, claimant vs. Edward D. Jones & Co. and Christopher Downs, respondents. ATTORNEYS: Claimant appeared Pro Se, through its trustees, Mesa, AZ. For Respondents appeared in-house counsel, Cynthia A. Doria, Esq.- St. Louis, MO. DATE FILED: January 19, 1999 CASE SUMMARY: Claimant, through Wilbert Calvin alleged that Respondents failed to inform him of the risks of investing in a mut