AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant Timothy O'Grady v. 97-03606 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant: Lonnie K. Martins, Esq. Davis, Gordon, Doner & Chandler West Palm Beach, Florida For Respondent: Bradford D. Kaufman, Esq. Steel, Hector & Davis West Palm Beach, Florida CASE INFORMATION Statement of Claim filed: August 26, 1997. Cl

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants John Bianco Marie Burke Case Number and 97-03597 Name of Respondents Bear Steams & Company Mary Ellen Kay REPRESENTATION OF PARTIES For John Bianco and Marie Burke ("Claimants") appeared Robert J, Poulson, Jr., Esq., a sole practioner, located in New York, New York. For Mary Ellen K.ay("Respondent") appeared David Bamberger, Esq., of Olshan, Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Diversified In vestment Fund, L.P. Case. Number- 97-03592 Name nf the Respondents Bear Steams & Co,, Inc. Bear Steams Securities Corporation Hearing .Site: Philadelphia, PA RFPRFSFNTATION OF PARTTFS Claimant, Diversified Investment Fund, L.P., hereinafter referred to as "Claimant", was represented by Robert J. Poulson, Jr., Esq., Attorney at Law,

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Joseph M. Camarata, TTEE of the Joseph M. Camarata Living Trust v. Arbitration No. 97-03591 Name of Respondents Prudential Securities, Inc. and Larry Trailer REPRESENTATION For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz Newport Beach, California For Respondents: Paul M. Foster, Esq. Prudential Securitie

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prime Charter Ltd., (Claimant) vs. Edward J. Bauer, (Respondent) Case Number: 00-02121 Hearing Site: New York City, New York REP^SENTATIQNOF PARTIES Claimant, Prime Charter Ltd. ("Prime"), hereinafter referred to as "Claimant": Karen M. Cullen, General Counsel, Prime Charter Ltd., New York, NY. Respondent, Edward J. Bauer ("Bauer"), hereinafter referred to as "Respondent"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00242 Richard K. Dycus, claimant vs. Wilshire Capital Management, LLC. respondent. ATTORNEYS: Claimant, Richard K. Dycus, ("Claimant"), appeared Pro Se., Pompano Beach, FL. For Respondent, Wilshire Capital Management, LLC. ("Respondent"), appeared Howard S. Eilen, Esq., of the firm, Lehman & Eilen, LLP., Uniondale, NY. DATE FILED: January 20, 2000 CASE SUMMARY: Claimant stated that

JUL0719a8 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between i u . . n-^mrm—TT J Q [ l "]lgvl_3u LJ Names of Claimants ' ' -- Saul P. and Tenira A. Rivkin 97-03587 Names of Respondents William E. Jones Great American Financial Network, Inc. REPRESENTATION For Claimants: Albert A. Rappoport, Esq., Boca Raton, Florida.. For Respondent Great American Financial Network, Inc.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Lixin Wu a/k/a Larry Wu 97-03572 Name of Respondents . Liyang Li Securities Service Network, Inc. REPRESENTATION For Claimant Lixin Wu ("Claimant") appeared Amira B. Batour, Esq., a sole practitioner with offices in New Brunswick, New Jersey. For Respondents Liyang Li ("Li") and Securities Service Network, Inc. ("SSN"), collectively referred to

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Gertrude Molinoff Diane Novick Phyllis Mack vs. Case No. 97-03570 Name of Respondents J.W. Charles Securities, Inc. Robert G. Szeligowski Fahnestock & Co. Securities, Inc. (Successor in interest to Vantage Securities, Inc. and Reich & Co., Inc.) REPRESENTATION For Claimants Gertrude Molinoff ("Molinoff"), Diane Novick ("Novick"), and Ph

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Peter Gianoukas Case No. 97-03569 Name of Respondents A.S. Goldmen & Company, Inc. Michael Bellima REPRESENTATION Peter Gianoukas ("Claimant") did not appear at the hearing. Respondent Michael Bellima appeared pro se. Respondent A.S. Goldmen & Company, Inc. ("A.S. Goldmen") was represented by Carole R. Bernstein, Esq., Attorney At Law, Norwalk,