NASD REGULATION. INC. AWARD In \hc Matter ol ihe Arbilralion Bctuoen Name of Claimant SaKatore J. /\saro Names of Respondents Pmdemial Securilies. Inc. Gerard N. Cud/il %-03399 REPRKSENTATIOX For Claimant Salvatore J. Asaro ("Claimant") appeareti Martin E. Karlinsky. Esq.. of the firm Cainliy Karlinsky & Stein. LLP. located in New York. New York. I'or Respondents Prudential Securilies. Inc. ("Prudential") and Gerard N. Cud/.i! ("Ciui/il")

N.A.S.D. AWARD NA-nONAL ASSOCUTION OF SECURITIES DEALERS In die Matter of the Arbitration Between Mark Raus 96-00358 Name^fgfgpftffijfeq^ Paul Camso In a claun filed widi die National Association of Securities Dealers, Inc. on January 24, 1996, claimant Mark Raus ("claimant"), who appeared Pro Se, alleged that respondent Paul Caruso ("respondent") President of Vision Investment Group ("Vision") and head of the Compliance Department refused to reso

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In die Matter of die Arbitration Between MamP nf Clajmant Aaron Sears 96-05194 -Investors Associates, Iflc Joseph B. DellaBella David Reynoso Hemian Epstein Joseph Dooley i|?Trpav,SRNTATION Claimant Aaron Sears ("Claimanf) appeared pro se T f»tK»\ TncAnh R DellaBella ("DellaBella" aka Joseph Bella), The Statement cf Claim was filed November 21, 19

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Malakafzali, Claimant v. Morgan Stanley Dean Witter, Respondent Case Number: 00-02227 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Laurence D. Strick, Esq. Law Offices of Laurence D. Strick, Esq. Los Angeles, California For Respondent: James A. Goodman, Esq. Epstein, Becker & Green, P.C. Los Angeles, California CASE

RECEIVE!: AWARD fiASO-Arbitratton Mediation NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION hi the matter of the Arbitration Between Name of dajjnant Allen Yee Name of Respondents Great Western Financial Securities Corp., Great Western Financial Corp., and Great Western Bank Arbitration No. 96-05111 For Claimant: For Respondents: REPRESENTATION For Respondents Great Western Financial Corp. and Great Westem Bank:

AWARD NASD Regulation. Inc. Ofiice of Dilute Resolution In the Matter of the Arbitration Between Everen Securities, Inc. f/k/a Kemper Securities, Inc., and 96-01002 Respondeat Gregory P. Newton. REPRESENTATTON OF PARTIES For Claimant: Claimant Everen Securities, Inc. ("Everwi") was represented by A. Brad Busscher, Esq. of Everen Securities, Inc.,located in Chici^o, Illinois. For Respondent: Respondent (jregory P. Newton ("Newton") was represented

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' N^fH^ < yf f!1ain||ap^(>f) Manuel M. Miller 1990 Trust Manuel M. Miller 96-00844 NameofResDondent/s) Retuiissance Financial Securities Corp. Suiqioint Securities, Inc. James S. Heitzer Anthony F. Lovallo REPRESENTATION For Claimants Manuel M. Miller, individually ("Milier") and tiie Manuel M. Miller 1990 Trust ("tiie Trust"): Julie F

"DEC. r.l99B 2S31PM NfiSD REGULATION FL NO.574 P.29 NASD MGOLATION. INC. AWARD NASD Re}idatia% Jiie.* Office of Diapnte Resdutioik hi die lKbit» of die Adiittadon Between AceBealt/.hie. |j||mB8 of Taggondenis Starlbig Ib:Mr & Co., Inc. Adam Llil»3«oaan CaigKaUnnan Pni^Mimoig Bryan K£]-e 97-02100 POtClatrjnt: Jeffrey Winlkoff, Esq. and Gaty MiUer of Stefai. Roaeriberg & Wtaikoff. P.A. P Landetdti!!, Flor^. For Reqondenis Steriing Po

Award NASD Regulation, Inc. In die Matter of-tiie Arbitiation Between David Morris, hidividually and as Trustee of die Shirley Morris Residuary Credit Shelter Trust Marshall P. Morris, individually and as Trustee of tiie Shkley Morris Residuary Credit Shelter Trust Irwhi J. Morris, hidividually and as Trustee of the Shirley Morris Residuary Credit Shelter Trust C:ase No. 91-03220 Names of ResnntidftT^^a Advest, Inc. Leiand Balb

N.A.S.D. REGULATION AWARD NATIONAL ASSQCTATTmv ng SECU^TTTF,S nEALRR.S ^Rmnr^ATTOM, mr CASE: 97-05989 Isaac Rmkewich. clahnant vs. La Jolla Capital Corp. and Peter Ragofsky, respondents. ATTORNEYS: ' ~"" — Clahnant speared Pro Se. - Hightstown, NJ. For Respondem La Jolla Capital Corp. appealed James C. Weaver - San Diego. CA. Respondent Peter Ragoftky appeared Pro Se. - New York, NY. DATE FILED: 12/26/97 ~~ CASE SUMMARY: Clahnant aUeged unautiiorized