Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jacques Cornet, Daniel Fitzgerald, and Brian Matthews, (Claimants) vs. Gleacher & Co., LLC, Eric Gleacher, Jeffrey Tepper, Charles Phillips, and Matthew Gourlay, (Respondents) Case Number: 00-02097 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Jacques Cornet ("Cornet"), Daniel Fitzgerald ("Fitzgerald"), and Brian Matthews ("Matthews"), hereinafter colle

NOV. 24.1998- - 2:07PM~ - — . i_ < _t-^_( (i j.^^i T r L NO.409 p.20' NASD REGULATION, INC, AWARD Office of Dispute Resolution In the Matter of the Arbitration Between f Cainant Lowell Levine & Barbara Levine Barbara S. Levine Trust Case No. 97-03432 Prudential Securities, Inc. PaineWebber, Inc. Loretta Mercado Jack Mounts OF For Claimants: Richard H. Levenstein, Esq. of the law firm of Kramer Sewell Sopko & Levenstein, St

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between i < Name of Claimant Strategic Asset Management vs. CASE 97-03423 Name of Respondents K. Aufhauser & Co., Inc. Timothy R. MacDonald REPRESENTATION Claimant Strategic Asset Management ("Claimant") was represented by Seymour Baden, President, Strategic Asset Management, Bethesda, Maryland. Respondent K. Aufhauser & Co., Inc. ("Aufhauser") was represented by James

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03422 Charles J. Koshivas & Elizabeth Koshivas, claimants vs. Euro-Atlantic Securities, Inc., Timothy O'Keefe, Kenneth A. Mandile and Glen E. DeLuca, respondents. ATTORNEYS: Claimants appeared Pro Se, Franklin, MA. Respondent Euro-Atlantic Securities, Inc., did not respond to the Statement of Claim. Respondent Timothy J. O'Keefe appeared Pro Se, Mahwah, NJ.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03420 Edward Laughlin, claimant v. Cortlandt Capital Corp. and Charles F. Molnar, respondents. ATTORNEYS: For claimant appeared Anne H. Orr, Esq. - Atlanta, GA Respondents did not appear. DATE FILED: 7/11/97 CASE SUMMARY: Claimant alleged misrepresentation, manipulation, omission of material fact and unsuitability in the sale of common stock. Claim Dat

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-03419 Daniel B. Denning, claimant vs. Marshall Wishnack, John C. Duckett and Kenneth A. Vinograd, respondents. ATTORNEYS: Claimant appeared Pro Se. - Great Falls, NY. For Respondents appeared James Murphy, Esq. - Richmond, VA. DATE FILED: 7/18/97 CASE SUMMARY: Parties have settled all claims. The only issue remaing is respondent Marshall Wishnack's mot

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Names of Claimants John R. and Lorie Jean Nahas, CO-TTEES 97-03417 Names of Respondents PaineWebber, Inc. Thomas Lewis Tartaglia, Jr. REPRESENTATION The Claimants appeared pro se. For Respondents: Sandra D. Grannum, Esq., Associate General Counsel, Corporate Vice-President, PaineWebber, Inc.("PaineWebber"). CASE INFORMATION Statement

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03413 Olde Discount Corporation, claimant vs. Philip Santueci, respondent. ATTORNEYS: For claimant appeared Robert S. Anderson, Esq. - Detroit, MI. Respondent did not appear. DATE FILED: 7/10/97 CASE SUMMARY: Claimant alleged debit balance. Claim Data Award Data Claim: $1,546.00 Award: $1,546.00 Interest: $66.88 Interest: $.00 Atty Fees: Reques

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03411 Charles H. Reynolds, Jr., claimant v. Richard White and J.B. Oxford & Co., respondents. ATTORNEYS: Claimant appeared pro se - Vero Beach, FL. For Respondents appeared Scott Monson, Beverly Hills, CA. DATE FILED: 7/10/97 CASE SUMMARY: Claimant alleged respondents failed to notify him of a rights offering causing him to lose an opportunity to purchase

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Carl N. Brocker, and Geraldine Brocket, Claimants, v. Frank A. Badger, Lifestyle Financial Group, Inc., Andover Securities, Inc., Terry James McGavern, Stephen Adrian Russell, Earle Whitney Westgate, Daniel Lee Youngs, and Kent Warren Miller, Respondents. No. 97-03410 REPRESENTATION OF PARTIES Claimant Carl N. Brocker and Geraldine Brocker("Claimants") w