Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Brian C. Whiteman Case No. 00-03216 Name of Respondent Wall Street^&ccess Hearing Site: Pittsburgh, Pennsylvania REPRESENTATION OF PARTIES Claimant, Brian C. Whiteman ("Claimant") represented himself. Respondent, Wall Street Access ("Respondent"): Jeffrey J. Fans, Vice President and General Counsel, Wall Street Access, New York, NY, CASE INF

AWARD NASD Regulation, Inc. CASE: 98-03603 Theresa A. Johnson & Richard A. Johnson, claimants vs. Financial Network Investment Corporation, Great-West Life & Annuity Insurance Co. and Hartford Life Insurance, respondents. ATTORNEYS: Claimants Theresa A. Johnson & Richard A. Johnson, appeared Pro Se., Kenmore, For Respondent Financial Network Investment Corporation, appeared in-house counsel, Thomas A. Wiltrakis, Esq., Torrence, CA. For Responden

Award NASD Regulation, Inc. In the Matters of the Arbitration Between: Hearing Site: Philadelphia, PA Dominic Falcone, Claimant Case Number: 98-03596 vs. Pennsylvania Merchant Group, Ltd. and Richard Johnson, Respondents AND John Elduff, Claimant Case Number: 98-03599 vs. Pennsylvania Merchant Group, Ltd. and Richard Johnson, Respondents REPRESENTATION OF PARTIES Claimants Dominic Falcone and John Elduff ("Claimants"): Edward Seglias, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lawrence A. Shafron, and Jaqueline Moskowitz (Claimants) vs. Foster Jeffries Securities, LLC, Marcus Ramos and Fred Hentschel, (Respondents). Case Number: 98-03597 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, Lawrence A. Shafron ("Shafron") and Jacqueline Moskowitz ("Moskowitz), hereinafter collectively referred to as "Claimants": Herbert M. Deutsch, Esq., Deutsch

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Judianne Densen-Gerber, (Claimant) vs. Hanifen Imhoff Clearing Corporation, Global Equities Group, Inc., and Marcial Chiong, (Respondents) Case Number: 98-03593 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Judianne Densen-Gerber, hereinafter referred to as "Claimant": Chase A. Caro, Esq., Caro & Associates, PC, New York, NY. Respondent, Hanife

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Greenberg Family Trust, Forrest M. Greenberg Trustee, Claimant vs. E*Trade Securities, Inc., Respondent, Case Number: 98-03588 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Greenberg Family Trust, Forrest M. Greenberg Trustee, (hereinafter referred to as "Claimant"): /« Pro Per, Forrest M. Greenberg, 3031 West March Lane, Suite 120 South, The Fountain

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: The Estate of John G, Rauch, Jr. (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Bradley L. Rosema (Respondents). Case Number: 98-03586 Hearing Site: Indianapolis, Indiana REPRESENTATION OF PARTIES Claimant, The Estate of John G. Rauch, Jr. ("Claimant "): Mark Maddox, Esq., Maddox Koeller Hargett & Caruso, Indianapolis, Indiana. Respondent, Merrill Lynch Pierce Fenner

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sia Adibi, Claimant v. GKN Securities, Inc., Franco Zappone, Philip Akel, Roger Galdstone, David Nussbaum, Robert Gladstone, and Vincent Bruno, Respondents. Case Number: 98-03564 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwaiter, Esq. Law Office of Steve A. Buchwalter Encino, California For Respondents: Terry Ross

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Sylvia Faso Trust, Sylvia Faso and Rosemary Carvan, Trustee, Sylvia and George Faso, Doug and Rosemary Carvan and 98-03561 Kansas City, Missouri Name of Respondents PaineWebber, Inc. George Davis Leff John Scott Ellsperman REPRESENTATION OF PARTIES Sylvia Faso Trust, Sylvia Faso and Rosemary Carvan, Trustee, and Sylvia and George Faso ("Cla

AWARD NASD Regulation, Inc. CASE: 98-03556 Marie C. Leonard, claimant vs. Merit Capital Associates, Inc., respondent. ATTORNEYS: Claimant Marie C. Leonard appeared Pro Se., Westport, CT Respondent, Merit Capital Associates, Inc., appeared through its Compliance Officer, Robert Fitzpatrick, Westport, CT DATE FILED: 09/24/1998 CASE SUMMARY: Claimant alleged respondent sold his shares of Turbodyne Technologies, Inc. stock although payment was made