Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Glenn Michael Financial, Inc., (Claimant) vs. Joseph Carney, (Respondent) vs. Glenn Michael Lanaia, Francine Ann Lanaia, Nick Giannantonio, and Wexford Clearing Services Corporation (Third-Party Respondents) Case Number: 00-02337 Hearing Site: New York, New York REPRESENTATION OF PARTIES H, Claimant, Glenn Michael Financial, Inc., hereinafter referred to as "Claimant": Law

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Barbara Mazullo Case No. 00-00259 Mams Morgan Stanley DW Inc. Hearing Site.- Philadelphia, PA OF Claimant, Barbara Mazullo ("Claimant'*) represented herself. Respondent, Dean Witter Reynolds, Inc. n/k/a Morgan Stanley Dean Witter, Inc. ("Respondent"): Debra A. Roth, First Vice President and Assistant General Counsel, Morgan Stanley Dean Witter, New York, NY.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 00-00025 Ranjit Singh Wahi and Sukhveer K. Wahi, Ranjit Singh Wahi, Sukhveer K. Wahi IRA Trust, Ranjit Singh Wahi IRA Trust, Ranjit Singh Wahi (MPP) Trust, Sukhveer K. Wahi PSP Trust, Ranjit S. Wahi C/F Supreet S. Wahi, and Ranjit S. Wahi C/F Amrita K. Wahi Name of the Respondents Hearing Site: Chicago, Elinois Reliance Ca

STIPULATED AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen L. Peterson, DDS & Stephen L. Peterson, D.D.S., IRA Case Number and 97-05219 Name A.S. Goldmen & Company, Inc. Michael E. Leventis Stuart E. Winkler Anthony J, Marchiano REPRESENTATION OF PARTIES For StephenL, Peterson, DDS and Stephen L. Peterson, D.D.S., IRA ("Claimant") appeared Joseph P, Carmichael, Esq., a sole practi

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Charles Wenger v. Arbitration No. 97-05217 Name of Respondent Jim Turner, Ty Rogers, Rick Sample, Cruttenden Roth, Inc., and Tony Molnar REPRESENTATION For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondents: John R. Loftus, Esq. Keesal, Young & Logan Long Beach, Calfiornia CASE INFOR

DEC. 19. 1998 l:07PM NASD REGULflTION FL NO. 754, P. 22 AWARD NASD Regulation, Inc.* >• NASD E emulation, Inc., Office of Dispute Resolution La the Matter of the Arbitration Between Natne_gf ^lairnpnt Morris Efrenstein * 97-05216 f Respondents Salomon -Smith Barney Inc. Alan J. JCirman REPRESENTATION y 1 For Claimant: Albert A. Rapoport, Esq. of Boca Raton, Florida. For Respondents Salomon Smith Barney, Inc. ("Smith Barney")

NASD REGULATION. INC AWARD In the Matter of the Arbitration Between Name of Claimants Dr. Donald Magidson & Rosalyn Magidson Donald L. Magidson DDS, PC PSP Case No. vs 97-05211 Name of Resuondents John M. Martello Robert Calavetta Paul Fiorini REPRESENTATION Claimants Dr. Donald Magidson and Rosalyn Magidson ("Claimants") appealed pro se, Respondents John M. Martello ("Martello"). Robert Calavetta ("Calavetta"). and Paul Fiorini

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Gaylord Burke Littenberg v. Name of Respondents Leonard Alan Robbins and Private Investors Equity Group Arbitration No. 97-05210 For Claimant: REPRESENTATION For Respondents Leonard A. Robbins, as an Individual and as President of Private Investors Equity Group: Gaylord B. Littenberg In Pro Per Ventura, California Leonard A.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert R. Caplener and Case Number 97-05209 Names of Respondents H.J. Meyers & Company, Inc. and Gregory A. Casady REPRESENTATION OF PARTIES Robert R. Caplener (hereafter referred to as "Claimant") was represented by Joseph H, Bobock, Esq. of McAfee & Taft, located in Oklahoma City, Oklahoma. H. J. Meyers & Company, Inc. (hereafter referred to as "Responden

03-20-2001 13.02 From-NASD 2027286952 T-800 P.OD2/OOB F-753 AWARD NASD REGULATION, INC. In the Matter of tbe Arbitration Between Name of Claimant Dwignt R. Smith, MD NASD Case No. 97-05207 Name of Respondent Capiiol Securities Management, lac. REPRESENTATION Claimant Dwight R- Smith, MD ("Claimant") was represented by Stephen "W. Hall, Esq. of ine law firm of Boykin & Casano, P-C.» Washington, D.C. Respondent Capitol Securities Manag