Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between:' Soon F. Wu and Jen Pin Han, Claimants v. Capital World Securities Corporation, Charles Wang, and Mike Tsai, Respondents Case Number: 98-01042 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent Capital World Securities Corporation: John J. Gilligan, Esq. Gyler and Gilligan Long Beach, California Capital World S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frederick Ruderman, (Claimant) vs. Metropolitan Life Insurance Company, Edward Garger, and Vincent Vitiello, (Respondents) Case Number: 98-01038 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Frederick Ruderman, hereinafter referred to as "Claimant": Robert A. Bloom, Esq., a sole practitioner, New York, NY. Respondents, Metropolitan Life Insurance Com

Award NASD Dispute Resolution, Inc. In the Matter, of the Arbitration Between: Lotso Amenuver, (Claimant) vs. Craig Wright, Maidstone Financial, Inc., Marshall Allen Bernstein, Lewco Securities Corp. and Stuart Litman, (Respondents) Case Number: 98-01037 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lotso Amenuver, hereinafter referred to as "Claimant", appeared pro se. Respondent, Craig Wright ("Wright"): appeared pro se. Res

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Steve Wimsatt v. Arbitration No. 98-01033 Name of Respondent Bear Stearns & Co., Inc., Jordan Belfort, Daniel Porush, Kenneth Greene, Gregory Hunt, and Bryan Mills REPRESENTATION For Claimant: Joseph R Keenan, Esq. Lawrence J . Bochat, Esq. Bochat & Keenan, P.C. Garden City, New York For Respondent Jordan Belfort: Did Not Appear For

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey G. Smith, Claimant v. Dean Witter Reynolds, Inc., d/b/a Morgan Stanley Dean Witter, Inc., Respondent Case Number: 00-02954 Hearing Site: Salt Lake Citv. UT REPRESENTATION OF PARTIES For Claimant: James E. Morton, Esq. Bugden, Collins & Morton, L.C. 623 East 2100 South Salt Lake City, UT 84106 For Respondent: Mark O. Morris, Esq. Snell&Wiimer,LLP 15

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Robert Campbell v. Name of Respondents Salomon Smith Barney, Inc., and Darren A. Wald Arbitration No. 98-01030 REPRESENTATION For Claimant: For Respondents: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Joint Statement of Answer filed by Respondents: Respondent Darren A. Wald's Submission

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01023 Robert M. Braun, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Trumbull, CT. For respondent appeared James A. Rickets - Omaha, NE. DATE FILED: 3/18/98 CASE SUMMARY: Claimant alleged failure to execute trade and mispresentations. Claim Data Award Data Claim: $1,373.50 Award: $.00 Interest: Requested Interest: $.00 Other: $.00 Other: $.00 AWARD: The unders

AWARD NASD Regulation, Inc. ' In the Matter of the Arbitration Between John C. Glase v. 98-1021 Merrill Lynch Fenner & Smith, Inc. REPRESENTATION OF PARTIES John C. Glase ("Claimant") was represented by Dominic Vannucci, Esq., of Fairview Park, Ohio. Merrill Lynch Fenner & Smith, Inc. ("Respondent") was represented by Alan M. Rauss, Esq. of Kohrman, Jackson & Krantz, P.L.L., of Cleveland, Ohio. CASE INFORMATION The Statement of Claim was fil

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James Rowoldt 98-01018 Name of Respondent K. Aufhauser & Company, Inc. REPRESENTATION For Claimant: James Rowoldt appeared pro se. For Respondent: K. Aufhauser & Company, Inc. was represented by James A. Ricketts of K. Aufhauser & Company, Inc., located in Omaha, Nebraska. CASE INFORMATION Statement of Claim filed: March 18, 1998. Claimant's Sub

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Ronald L Smith, Claimant vs. Prudential Securities, Inc., Ronald M. Cappelletti, Wick Simmons and Bob Herlihy, Respondents. Case Number: 98-01009 Hearing Site: Columbus. Ohio REPRESENTATION OF PARTIES Claimant, Ronald L. Smith (Smith) (hereinafter referred to as "Claimant"), was represented by Russell A. Kelm, Esquire, Columbus, Ohio. Respondents, Prudential Securities, In