AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Michael J. Bennett 98-02640 Name of Respondent Wheat First Union (f/n/a Wheat First Securities, Inc.) REPRESENTATION Claimant Michael J. Bennett ("Claimant") was represented by Tom P. Monteverde, Esq. and Michael E. Scullin, Esq. of the law firm of Monteverde, McAlee, Fitzpatrick, Tanker & Kurd, Philadelphia, PA. Respondent Wheat First Union ("Responden

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Taseer Badar and Case Number 98-02633 Names of Respondents Corporate Securities Group, Inc. and J.W. Charles Clearing Corp. REPRESENTATION OF PARTIES Taseer Badar (hereafter referred to as "Claimant") was represented by Melanie Shelnutt, Esq. of Kelly, Sutler, Mount & Kendrick, P.C., located in Houston, Texas. Corporate Securities Group, Inc. and J.W. C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Josef A. Blatstein, Trustee of the Josef A. Blatstein Trust uad 3/4/93 Case No. 98-02628 Names of Respondents GKN Securities Corporation John Glenn Flanagan REPRESENTATION OF PARTIES For Claimant: Kenneth S. Sandier, Esq., Kenneth S, Sandier, P.A., Hollywood, FL. For Respondents GKN Securities Corporation ("GKN") and John Glenn Flanagan ("Flanagan")

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03149 Rodman and Patricia Myers, Claimants, vs. Stephen J. Messina, Respondent. ATTORNEYS: For Claimants, Rodman and Patricia Myers, ("Claimants"), appeared Patricia M. McAuliffe, Esq., Bloomfield Hills, MI. Respondent, Stephen J. Messina, ("Respondent"), appeared Pro Se., Huntington, NY. DATE FILED: July 25, 2000 CASE SUMMARY: Claimants alleged that Respondent agreed to repurchase

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alfonso Tiu, M.D., individually and as Trustee of the Tiu Family Trust, and Lou Divina Tiu, M.D., individually and as Trustee of the Tiu Family Trust; as Custodian for Alphonse P. Tiu Under the Uniform Gift to Minors Act, WI; as Custodian for Carmelita A. Tiu. Under the Uniform Gift to Minors Act, WI; and as Guardian for Chuti L. Tiu, Claimants vs. Prudential Securities and Thomas Der

i t AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Jackalee McCoy v. Arbitration No. 98-02621 Name of Respondents Global Financial Group, Inc. and Robert Torres REPRESENTATION For Claimant: ' Stephen F. Boutin, Esq. Boutin, Dentino, Gibson, Di Giusto & Hodell Sacramento, California For Respondent Global Financial Group, Inc.: Steven R. Hedges, Esq. Abdo & Abdo Minneapolis, Minnes

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nathan Henderson, (Claimant) vs. The CMS Group, L.L.C. and Joseph Costa, (Respondents) Case Number: 98-02618 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Nathan Benderson, hereinafter referred to as "Claimant": Patrick G. Finegan, Jr., Esq., a sole practitioner, Washington, DC. Respondents, The GMS Group, L.L.C. ("GMS") and Joseph Costa ("Costa"), herein

N.A.S.D. REGULATION, INC. AWARD CASE: 98-02615 Robert F. Hons, claimant vs. Stratton Oakmont, Inc., Daniel Mark Porush, Leonard Dunn, Jordan I. Shamah, Patrick Gerard Hayes, Howard Scott Gelfand and Adam C. Friedland, respondents. ATTORNEYS: Claimant appeared Pro Se. - Bel Air, MD. For respondent Daniel Mark Porush appeared Mark E. Gelfand, Esq., - Great Neck, NY. Respondents Howard Scott Gelfand, Jordan I. Shamah and Adam C. Friedland did not appeared.

AWARD NASD Regulation, Inc. CASE: 98-02596 Harvey J. VanDerlyn, claimant vs. Thomas McNeill, respondent. ATTORNEYS: Claimant appeared Pro Se. - Brewster, NY. Respondent appeared Pro Se. - Allenwood, NJ. DATE FILED: 7/20/98 CASE SUMMARY: Claimant alleged non-payment of compensation owed. Claim Data Award Data Claim: $1,250.00 Award: $1,250.00 Interest: $.00 Interest: 8% per annum from 6/1/98 to date of award. Filing Fees: $575.00 Fili

AWARD NASD Regulation, Inc. CASE: 98 - 02595 Bruce Fixelle, claimant vs. Stuart Horowitz and GKN Securities, respondents. ATTORNEYS: Claimant appeared Pro Se. - Cresskill, NJ. For Respondents appeared {Catherine Nathan, Esq. - New York, NY. DATE FILED: 7/20/98 CASE SUMMARY: Claimant alleged failure to execute order for common stock. Claim Data Award Data Claim: $8,125.00 Award: $6,250.00 Interest: $.00 Interest: 9% from 6/20/98 - 1/14/99