Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Kenneth C. Vogelstein Case No. 98-02148 Hearing Location: Baltimore, MD Name of Respondents W.J. Gallagher & Company, Inc. Eric Lee Ellennorn RAS Securities Corp. (n/k/a FAB Securities of America, Inc.) REPRESENTATION OF PARTIES Claimant Kenneth C. Vogelstein ("Claimant") was represented by William N. Butler, Esq. of the law firm of Howard Butler &

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case No. 98-02146 Name of Respondent Henry C. Shores, Jr. Name of Third Party Respondent Robert P. Provence City: Richmond State: Virginia REPRESENTATION OF PARTIES Claimant Prudential Securities, Incorporated ("Claimant" or "PSI") was represented by John S. Ban, Esq. and James A. Sonne, Esq. of the law firm of McGuire, W

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William Riccard Case No. 98-02143 Name of Respondent The Prudential Insurance Co. of America REPRESENTATION OF PARTIES For William Riccard ("Riccard"), hereinafter referred to as "Claimant": H. Robert Dowd, Esq. of the law firm of Swanson & Dowd until his withdrawal of counsel on or about June 17, 1999. Thereafter, Claimant was represented by Daniel

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Praveen Tyle and TanuTyleJTWROS and Case Number 98-02142 Names of Respondents Prudential Securities, Inc., Renee Kwait Rettig and Frank Baldwin REPRESENTATION OF PARTIES Praveen Tyle and Tanu Tyle JTWROS (hereafter collectively referred to as "Claimants") were represented by Frank W. Morgan, Esq. of Frank W, Morgan & Associates, P.C., located in The

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Nam** James P. Miller Thomas A. Akins Case No. 00-03090 "Mam ft Starboard Capital Market, Inc. Hearing Site: Philadelphia, PA OF PAPTTFS Claimants, 1 James P. Miller ("Miller") and Thomas A. Akins ("Akins") collectively referred to tas ("Claimants"): Patricia Casperson, Esq: of the law firm of Stradley Ronon Stevens^ & iYtouag LLP, Philadelphia,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-02139 James W. Stein and Jean M. Stein, claimants vs. Paul Guercio, State Street Capital Markets, Corp., Cathleen Seneca, and Dila D. Skrelja, respondents. ATTORNEYS: Claimants James W. and Jean M. Stein appeared Pro Se., Green Bay, Wisconsin. For Respondent Paul A. Guercio ("Guercio") appeared, Wendell Davis, Jr., Esq., of the firm, Scheuermann & Davis, New Y

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: All-Tech Investment Group, Inc., (Claimant) vs. Knight Securities, Inc., (Respondent) Case Number: 98-02132 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, All-Tech Investment Group, Inc., ("All-Tech"), hereinafter referred to as "Claimant": Thomas A. Rigilano, Esq., of Singer Frumento, LLP, located in New York, New York. Respondent Knight Securities, Inc., ("Knight"),

AWARD NASD Regulation, Inc. CASE: 98 - 02131 Nairn S. Turk, claimant vs. H.J. Meyers & Co., Inc. and Jack Ibrahim Tawasha, respondents. ATTORNEYS: For Claimant appeared Salim N. Turk, Esq. Los Angeles, CA. For Respondent H.J. Meyers & Co., Inc. appeared George P. McDonald, Esq. - Rochester For Respondent Jack Ibrahim Tawasha appeared Philip McLeod - San Francisco, CA. DATE FILED: 6711/98 ~ CASE SUMMARY: Claimant alleged unsuitability, fraud, breach

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charlotte Lowit, (Claimant) vs. LT Lawrence & Co., Inc., and George Tsapakis, (Respondents). Case Number: 98-02129 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Charlotte Lowit "Claimant": Chase A. Caro, Esq., New York, New York. Respondent LT Lawrence & Co., Inc. ("LTL") did not appear at the hearing in this matter. Respondent George Tsapakis ("Tsapakis") appear

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Comprehensive Psychiatric Care PC BSCC Master Defined Contribution Money Purchase Plan vs. Case No. 98-02127 Name of Respondents Gaines, Berland, Inc. Douglas Costabile Michael Chakos REPRESENTATION For Claimant Comprehensive Psychiatric Care PC BSCC Master Defined Contribution Money Purchase Plan ("Claimant") appeared Lloyd S. Clareman, Esq