Award NASD Dispute Resolution, Inc. In the Matter of the Arbibation Between Philip Dai and Hua Guan Peng Case No. 00-03044 Yanshi Jin Jianqiang Fu Globalink Asset Management, Inc. Globalink Securities, Inc. Hearing Sitf: Washington, D.C. 'ARTIFiS Claimants, Philip Dai and Hua Guan Peng, hereinafter collectively referred to as "Claimants"' Attomey J. Wa.vne Hou, Law Offices of J. Wayne Hou, Bethesda, Maryland. Respondent Yanshi Jin ("Ji

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Abe Schneider Tnjst. Helen Schneider Trust, and Abe and Helen Schneider JTWROS (Clatmants) v UBS PaineWebber, Inc.. Everen Securities n/k/a First Unions Secudtiet Inc., and Ronald W. Fox (Respondents) Case Number: 99-04019 Hearing Site: Chicago, Illinois REPRKSKNTATION OF PARTIFt^ ^Sc'^.l? f^'^"^^^,^ Trust. Helen Schneider Trust, and Abe and Helen Schneider JTWROS ( Schn

Award NASD Dispute Resolution, Inc. In the Mutter of the Arbitration Between Names of Claanants Paul Gessler SEP IRA and Diana Gessler SEP IRA Names of Respondents Ladenburg, Thalmann & Co., Inc. Donald Kenneth Kozlowski Hearing Site: Tampa, Florida Case No. 98-01269 REPRESENTATION OF PARTIES For Paul Gessler SEP IRA and Diana Gessler SEP IRA hereinafter collectively refened to as "Claimants": Paul Gessler, Bonita Springs, FL. For

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant First Union Securities, Inc. and 00-03944 Denver, Colorado Name of Respondent Paul Clark REPRESENTATION OF PARTIES First Union Securities, Inc. ("Claimant") was represented by Diane C. Fischer, Esq. and Stephen S. Berkeley, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Paul Clark ("Respondent") was not represented by counsel. CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lawrence A. Dear. Claimant v. The Harriman Group, Inc., Edward Short, Mark A. Hantia Brian D. Scanlon, Thomas R. Fede, Anthony Joe and Stephen C. Palumbo, Respondents Case Number: 97-02264 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTTRS For Claimant: For Respondent The Harriman Group, Inc. For Respondent Edward Short: For Respondent Mark A. Hanna:

Stipulated Award I^ASD Dispute Resolution In theMattor of the Aibitratian Between: "Wells Fargo Bank, N,A., a NationallBank, Claimant v. James Urioste, an individual, Bsspondent Case Number: 01-06399 Hearing Site; Los Angeles, Califomia Par Claiinant Wells Fargo Bank, REPB E8ENTATIQN OP PARTIES N.|^.: I For Respondent James Urioste: Lauren N. Vuong. £lsq. Office of General Counsel Wells Fargo Bank San Prancisco, California Denn

Stipulated Award NASD Dispute Resolutton, Inc. In the Matter of the Arbitration Between Names of Claimants Nancy and Julie Dhonau Case No. 98-04498 Hearing Site: Boca Raton, Florida Names of Respondents W.J.Gallagher & Co., Inc. Sovereign Equity Management Corp. a/k/a Tuscany Equity Management Corp. Gunallen Financial, Inc. ChatHeld Dean Holdings, Inc. Donald James Gunn, Jr, REPRESENTATION OF PARTIES For Nancy and Julie Dhonau

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daljit S. Buttar and Paramjit Buttar, Claimants v. Robert Jacob Winston, Michael E. Wallace, Joseph Scotti and David Jacaruso, Respondents v. Vivek Verma, Third Party Respondent Case Number: 00-03950 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Daljit S. Buttar and Paramjit Buttar, hereinafter collectively referred to as "Claimants": April M. Chung, Esq.,

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Arthur E. Chrinian and Laura A. Chrinian as Tmstees of tiie Arthur Chrinian Revocable Tmst and the Laiura A. Chrinian Revocable Tmst Case No. 98-04637 Hearing Site: Boca Raton, Florida Names nf Respondents David Louis Klein Main Street Management Company REPRESENTATION OF PARTIES For Arthur E. Chrinian and Laura A. Chrinian as

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Murray Kapchan and Zelda Kapchan, (Claimants) vs. Gruntal & Co., Inc., Prime Charter Ltd., Inc., Scott A. Rubin, and Jon Tanenbaum, (Respondents) Case Number: 98-02330 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Munray Kapchan ("M. Kapchan") and Zelda Kapchan ("Z. Kapchan"), hereinafter collectively referred to as "Claimants": David E. Robbins, Esq., Ka