1 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald R, Biegel, Claimant v. Mirza J, Khaleeli and Dean Witter Reynolds Inc. n/k/a Morgan Stanley Dean Witter, Inc., Respondents Case Number: 01-06406 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Kevin Nay Palm Springs, California Richard Smith, Esq. Morgan Stanley Dean Witter, Inc. New York, New York

NATIONAL ASSOCIATION OF SECUEITIES DEALERS Randy Lee Hines, Claimant , V. No. 95-04744 Principal Financial Securities, Inc. and Hamilton Investments, Respondents. REPRESENTATION OF PARTIES Claimant, Randy Lee Hines ("Claimant") was represented by Bruce Faulken, Esq. of Roseville, MN. Respondent, Principal Financial Securities, Inc., ("Respondent Principal") was represented by Wendy A. Snyder of Kelly & Berens, P,A. located in Minneapoli

t Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Global Resource Investments, Ltd. vs James L. Ebersohl Case Number: 00-02235 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Global Resource Investments, Ltd. ("Global"): John Kilkenny, Esq., Cantweil & Cantwell, Chicago, Illinois Respondent James L. Ebersohl, Esq. did not appear. CASE INFORMATION Statement of Claim filed on or about: May 26, 2000

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edilberto J. Miranda 95-05152 Name of Respondents Chase Manhattan Investment Services, Inc. Randall J. Bodner Peter Zubizarreta Karim Armand REPRESENTATION OF PARTIES For Claimant Edilberto J. Miranda ("Miranda"): J. B. Harris, Esq., Miami, Florida. For Respondents Chase Manhattan Investment Services, Inc. ("CMIS"), Randal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECL^TIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond Leech Names of RespondRnts Gerwin Stinziano Securities, Inc. and Cuchalain Tower Libby a/k/a Dan Libby 95-05178 REPRESENTATTDK BerkowSt'L^s! MTssotr' "''"""^^ '^^"^ ^ ^^'^ * PredH.!^'r?'^^"*c?'^'" f Securities, Inc. was represented by Christopher Gerwiii, President, Gerwin Stinziano Securities, Inc., Calabasas, Califom

NASI) Rl-Gl LA I iON. INC AWARD OFFICE OF DISPUTE RESOLl TION In the Mailer of the Arbitration Between Windsor. I,.P. Name ot" Respondenls Nohle Investnienl Co, of Palm Beacli Nico Letschert Cory Nass Derrick Munroe 95-()S4S4 REPRESENTATION For Claimant Windsor L.F*. ("Clannant") appeared Fxlward T, Duffy. Esq.. a sole practiiioner. located in New York, New York, For Respondenls Nohle Investnienl Co, of Pahn Beach. Nico Fetscherl, Cory

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter ofthe Arbitration Between Name of Claimant Richard E. Defee and Case Number 95-05950 Names of Respondents M. Rimson & Company, Alex D, Shindman, Barry C. Wilson, Moshe Rimson and Edward Veisman REPRESENTATION OF PARTIES Claimant Richard E. Defee filed the Statement of Claim Pro Se' but did not appear for the hearing. Respondent Barry C. Wilson filed a S

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name nf Claimant Richard J. LoMauro and 95-06085 Name of Respondent Quick & Reilly, Inc. Stewart Stothoff REPRESENTATION OF PARTIES Richard J. LoMain*o ("Claimant") appeared pro se. Quick & Reilly, Inc. ("Respondent Quick & Reilly") was represented by John Schmnaker, Quick & Reilly, Inc., Denver, Colorado. Stewart Stothoff ("Respondent Sto

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Mayer 95-06083 Name of Respondent Stratton Oakmont, Inc. CASE SUMMARY In a claim filed with the National Association of Securifies Dealers, Inc. on December 29, 1995, Claimant Michael A. Mayer ("Claimant"), who appeared Pro Se, aUeged that Respondent Stratton Oakmont, Inc. ("Respondent") through its representatives Mar

N.A.S.D- REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Robert R. Wright 95-06058 Name of Respondents Arthurs, Lestrange & Company, Inc. Sylvia J. Myers I^PRESENTATION Claimant Robert R. Wright ("Claimant") was represented by Vicki Kuftic Home, Esq., Pittsburgh, PA. Respondents Arthurs, Lestrange & Co., Inc. ("Arthurs, Lestrange") and Sylvia J. Myers ("Myers") we