Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles B, Krusen, (Claimant) vs. The Zanett Securities Corporation, (Respondent) Case Number: 98-02388 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles B. Krusen, hereinafter referred to as "Claimant": Marc S. Dreier, Esq., Dreier & Baritz LLP, New York, NY. Respondent, The Zanett Securities Corporation, hereinafter referred to as "Respondent":

JLJL. 1.1999 7:19AM HO,805 P.29 AWARD NASD Regulation, Inc. ID the Matter of the Arbitration Between Name 9? Claimant Brian Feinglass Name Of Respondent Prudential Securities, Inc. 98-02386 REPRESENTATION For Claimant; Martin A. Feigenbaum, Esq., Miami, PL. For Respondent: Steven L. Rahner, Esq., Associate Vice President and Assistant General Counsel of Prudential Securities, Incorporated, New York, NY, CASE INFORMATION S

AWARD NASD Regulation, Inc. CASE:98-02383 EM Tech of Charleston, claimant vs. Prime Charter, Inc. and Thomas Sullivan, respondents. ATTORNEYS. Claimant, EM Tech of Charleston appeared Pro Se., through its President, William B. Greene, Charleston, SC. For Respondent, Prime Charter, Ltd. appeared Eva M. Possavino, Esq., of the firm, 1 ehman & Eilen, LLP., Uniondale, NY. For Respondent, Thomas Sullivan, appeared David Crystal, II, Esq., of the firm, Gi

AWARD NASD Regulation, Inc. CASE: 98-02380 Andrew D. Filipek, claimant vs. Ray Salinas, Intertrade Securities, The Heritage Group, William Slivka, Computer Clearing Services, respondent. ATTORNEYS: Claimant, Andrew D. Filipek appeared Pro Se., Lagunitas, CA For Respondents, The Heritage Group, Inc. and William Slivka, William Slivka, President, appeared Pro Se., Corte Madera, CA Respondents, Intertrade Securities and Ray Salinas appeared Pro Se., Sa

v. AWARD NASD Regulation, Inc. CASE: 98-02375 Magnolia Harvest USA, claimant vs. Scott Belton, Tony LaGrega, and First Republic Group, respondents. ATTORNEYS: Claimant Magnolia Harvest USA, appeared Pro Se through Tony Corona, Jr., Baker, LA. Respondents Scott Belton, Tony LaGrega, and First Republic Group appeared Pro Se, through Compliance Manager, Anthony R. LaGrega, New York, NY. DATE FILED: 06/30/1998 CASE SUMMARY: Claimant alleged that

AWARD NASD Regulation, Inc. CASE: 98-02373 David W. Tansor, claimant vs. James N. Jackson anc! P..ul Krus, respondents. ATTORNEYS: Claimant, David W. Tansor appeared Pro Se., Madison, WI For Respondents, James N. Jackson and Paul Krus appeared Michael D. Jones, Esq., of the firm, Kilburn, Jones, Gill & Campbell, L.L.P., Houston, TX DATE FILED: 06/30/98 CASE SUMMARY: Claimant alleged contrary to the policy of Bank UnrkJ Securities Corporation, re

•v AWARD NASD Regulation, Inc. CASE: 98-02372 Donald J. Simons, claimant vs. Capital Planning Associates, RPR Correspondent Clearing, PCM Securities, Inc., Computer Clearing Services, Inc., and Brent Calderne, respondents. ATTORNEYS: Claimant appeared Pro Se. - Staffordville, CT. For Respondent RPR Correspondent Clearing appeared Timothy J. Goodwin, Esq., of the firm, Jenkins & Gilchrist, Dallas, TX. For Respondent Computer Clearing Services, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert D. Moose, (Claimant) vs. Dean Witter Reynolds Inc., (Respondent) Case Number: 00-03115 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert D. Moose, hereinafter referred to as "Claimant", appeared pro se. Respondent, Dean Witter Reynolds Inc., hereinafter referred to as "Respondent": Debra A. Roth, Esq., Morgan Stanley Dean Witter, New York, NY.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Via Moda, Inc., (Claimant) vs. Lexington Capital Corporation, Preston Langley Asset Management Corp., Christopher J. Russo, and Christian Blake, (Respondents) Case Number: 98-02371 Hearing. Site: New York, New York REPRESENTATION OF PARTIES Claimant, Via Moda, Inc., hereinafter referred to as "Claimant": Erwin Conn. Esq.. Conn & Conn, Chicago, IL, Respondents, Lexington Ca

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Linda C. Walker (Claimant) vs. FFP Securities, Inc., Bryan Paul Davis, Christopher Vincent Meitz, and First Financial Planners, Inc. (Respondents). Case Number: 98-02367 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Linda C. Walker ("Walker"): Robert P. Aulston, Esq., Robert P. Aulston & Associates, P.C., Chicago, Illinois Respondents FFP Securities, Inc. (FFP