Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Chiang, (Claimant) vs. Brown and Co., (Respondent) Case Number: 01-3412 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, David Chiang, hereinafter referred to as "Claimant": Anthony J. Horn, Esq., Attorney at Law, New York, NY. Respondent, Brown and Co., hereinafter referred to as "Respondent": James B. Fox, Esq., and Bruce D. Levin, Esq., Bernkop

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between George A. and Anna R. Kovalycsiik, Claimants, v. Case # 94-01562 J ; B. Hanauer & Company and Andrew Marcus, Respondents. REPRESENTATION George and Anna Kovalycsiik ("Mr. and Mrs. Kovalycsiik") appeared pro se. J.B. Hanauer ("Hanauer") represented by Jeffery J. Wild, Esq. of the law firm of Lowenstein, Sandier, Kohl, Fisher & Boylan, Ro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Plaimantfst Taghi Shahin Attorney-in-Fact for MODIFICATION OP Jafar Afyouni AWARD 90-01379 Shearson Lehman Hutton, Inc. SBZ Group Bljan Bozorgi Farhad Shakiban Javad Zhaleh Doust Sani Camille Karam Carlos Calvo John Zacharia Pursuant to request for reconsideration made by counsel for Respondents, and upon consideration

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eleanore L. Green, (Claimant) vs. Progressive Asset Management, Inc., Howard Tharsing, Jr., and Eric D. Leeson, (Respondents) Case Number: 98-03832 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Eleanore L. Green, hereinafter referred to as "Claimant": Sherilyn Renee Dandridge, Esq., New York, NY. Respondents, Progressive Asset Management, Inc. ("Progressive") and

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John Slack Case No. 98-03824 Names of Respondents Salomon Smith Barney, Inc. Greg Torretta Kevin P. Murphy REPRESENTATION OF PARTIES For John Slack, hereinafter referred to as "Claimant": Randall W. Henley, Esq. of Randall W. Henley, P.A., West Palm Beach, Florida. For Salomon Smith Barney, Inc. ("Smith Barney"), Greg Torretta ("Torretta") and Kevin

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants James and Marlene Batavia Case No. 98-03819 Names of Respondents Wheat First Securities, Inc. Fredric Todd Macholz REPRESENTATION OF PARTIES For James and Marlene Batavia, hereinafter collectively referred to as "Claimants": Russell L. Forkey, Esq. of Russell L. Forkey, P.A., Fort Lauderdale, Florida. For Wheat First Securities, Inc. ("Wheat First") a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ruth Harnek, (Claimant) vs. William Kahl, PaineWebber, Inc., and American Investment Services, Inc., (Respondents) Case Number: 98-03808 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Ruth Harnek, hereinafter referred to as "Claimant": Richard D. De Vita, Esq., sole practitioner, Hoboken, NJ. Respondent William Kahl ("Kahl") did not enter an appearance in the hearin

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Howard Siegel, Claimant v. The Prudential Insurance Company of America and Robert DeFillippo, Respondents. Case Number: 98-03795 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Allen R. Ball, Esq. Law Office of Ball & Yorke Ventura, California For Respondent: Neal Marder, Esq., Sonnenschein Nath & Rosenthal San Francisco, California

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Barry and Linda Rosenblatt, Claimants v. Salomon Smith Barney Inc. and Anthony B.J. Black, Respondents. Case Number: 98-03780 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondent, Salomon Smith Barney Inc. For Respondent, Anthony B.J. Black: CASE INFORMATION Frederick C. Phillips, Esq. Phillips, Haskett & Ingwalson San

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Lloyd R. and Janet S. Peyton Virginia C. Burnworth Paul and Marie Case Janice A. Eshliman Estate of Alice Casciano Susan Crane, Individually and as Personal Representative for the Estate of D, Harrison Holcombe and as Successor Trustee of the Holcombe Living Trust Case No. 98-03777 Names of Respondents Sunpoint Securities Inc. Van Robe