AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Stephen Park v. Arbitration No. 97-05504 Name of Respondent H.J. Meyers & Co. Joseph Gerace William Ruiz REPRESENTATION For Claimant: Susan Park Claimant's Representative Buena Park. California For Respondents H. J Meyers & Co., and William Ruiz: Robert A. UhL Esq. Attorney at Law Beverly Hills, Cali

MAY.13.1999 8:3im NO.973 P.27 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Ronald J. Kovadc 97-05498 Names of Respondents Prudential Securities, Inc. v& Wayne Dunham t REPRESENTATION For Claimant Ronald J. Kovack ("Kovack"): Robert W. Pearce, Esq. of Lerner & Pearce, P. A., Fort Lauderdale, Florida, For Respondents Prudential Securities, Inc. ("Prudential ") and Wayne Dunham ("Dunham"): Alan 5

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Harvey Cohen Case No. 00-02360 Bear Steams & Company, Inc. Adam Joseph Cabibi Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Harvey Cohen ("Cohen"), hereinafter referred to as "Claimant": Stephen A. Baker, Esq. of Allan & Shipp, P.A. St. Petersburg, Florida. For Bear Stearns & Company, Inc. ("Bear Stearns") and Adam Joseph Cabib

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kiumar Bakshandeh's Profit Sharing Plan, Claimant v. Naum Voloshin and Interfirst Capital Corporation, Respondents. Case Number: 97-05496 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Kiumar Bakshandeh, M.D. In Pro Per Beverly Hills, California For Respondents: Robert A. Uhl, Esq. Law Offices of Robert A. Uhl, Inc. Beverly Hills, Cal

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bernard C. Duse t Jr. 97-05495 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant: Edward J. Tolchin, Esq., Fettmann, Tolchin & Majors, PC, Fairfax, VA. For Respondent: Joseph A. Ingrisano, Esq., Kutak Rock, Washington, DC. CASE INFORMATION Statement of Claim filed: November 19, 1997 Claimant, Bernard C. Duse, J

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Glenn Brewster Case No. vs. 97-05494 Name of Respondent Vanguard Marketing Corp. REPRESENTATION Claimant Glenn Brewster ("Claimant") appeared pro se in this matter. For Respondent Vanguard Marketing Corp. ("Respondent") appeared Pauline C. Scalvino, Esq., Principal and Associate Counsel of the Vanguard Group, Inc. located in Valley Forge, Pennsylvan

Award NASD Dispute Resolution, Inc. In the Mailer of the Arbitration Between: H.D. Brous & Co., Inc., (Claimant) vs. Maria Morhous, (Respondent) Case Number: 97-05488 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, H.D. Brous & Co., Inc., hereinafter referred to as "Claimant": Marty Siegel, Esq,, Berlaclt, Israels & Lieberman LLP, New York, NY. Previously represented by: J.P. Wilson. Esq., General Counsel, H.D. Brous & Co., Inc., Gr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DTC/U JEttfl REGULATION. INC. CASE: 97-05483 John F. Gorman, claimant vs. Worthiripon Capital Group, Inc., respondent. ATTORNEYS: For Claimant appeared Thomas J. Hanrahan, Esq., Glen Rock, NJ. For Respondent appeared Vincent M. Lentini, Esq., of the firm, Doros & Brescia, New York, NY. DATE FILED: November 19, 1997 CASE SUMMARY: Claimant alleged that respondent has tailed to pay him commis

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05481 James E. Crowder, claimant vs. Arthur Alonzo, m, respondent. ATTORNEYS: Claimant appeared Pro Se - Florence, AL. Respondent Arthur Alonzo, m did not appear. DATE FILED: 11/19/97 CASE SUMMARY: Claimant alleged negligence and misrepresentation in the trading of common stock. Claim Data Award Data Claim: $4,750.00 Award: $4,750.00 Punitive

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Steven J. Stone 97-05476 Name of Respondents Dean Witter Reynolds Inc. John R. Kettmann REPRESENTATION OF PARTIES For Claimant: Richard Sacks, Investors Recovery Service, Novato, California. For Respondents: Wendy R. Robinson, Esq., Dean Witter Reynolds Inc., San Francisco, California. CASE INFORMATIO