NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02027 Efim Mogilevsky, Claimant vs. Charles Schwab & Co., Inc. Respondent. ATTORNEYS: For Claimant, Efim Mogilevsky, ("Claimant"), appeared Sophia Howes, Legal Intern, of Lincoln Square Legal Services, Inc., New York, NY. For Respondent, Charles Schwab & Co., Inc. ("Respondent"), appeared in-house-counsel, Gregory M.Scanlon, Vice President and Senior Corporate Counsel, San Francisco, C

AMERTCAN STOCK BSCCHAHGE: IN THE MATTER OF ARBITRATION BETWEEN C.\SE : YIIKIO A ROSAIilNDA NISHIKAWA V. PAINgWEBBBR DATE FILED: 11/19/90 FIRST SCHEDULED DECIDED CI,AIMANT*S INITIAI.S j-;ssTons: 1-4 RESPONDENT'S THIRD PARTY'S INITIALS CLAIM AND AWARD DATA; r'UNITIVE ATTV FEES Requested DEPOSIT $SO0.00 CO.STS CC/'3ra PTY PUNITIVE ATTY FEES DEPOSIT _ COSTS N/A N/A AWARD -AftirT^T Q-* (Includ

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Todd Taber vs. #97-02753 Name of Respondents PC Financial Network Donaldson Lufkin & Jenrette Securities REPRESENTATION Claimant Todd Taber("Claimant") appeared pro se. Respondents PC Financial Network("PCFN") and Donaldson Lufkin & Jenrette Securities Corporation ("DLJ") were represented by David Hirschberg, Esq., Wexler & Burkhardt, P.C., Mitchel

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Thomas A. Dryden, and Claudia K. Dryden, Claimants, v. N 7 o. 97-02744 Smith Barney, Inc., Bear Stearns & Co.. Inc., Hyden Mark Schulman, and Gramercy Partners. Respondents. REPRESENTATION OF PARTIES Claimants Thomas A. Dryden and Claudia K. Dryden ("Claimants") were represented by Anthony V. Trogan. Esq. of Weisman. Trogan.

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John L. Kaminski 97-02739 Name of Respondent Dain Bosworth Incorporated === ^ ===== ^ ===== ^ ==: ^^^ = ^ ==== ^^^ ==== Consolidated with In the Matter of the Arbitration Between Name of Claimants Joseph Arbisi, Sr.; and Irene Arbisi 97-03013

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Paul Markey, Claimant vs. Michael Keegan, Adam Levy, Kevin Loomis, Steven Vornea, Marc.A. Luxenburg & Kensington Wells, Inc.. Respondents. Case Number: 97-2734 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Paul Markey ("Markey"), hereinafter referred to as "Claimant": Scott M, Zucker, Esq., Lake Success, New York, and Christopher Jones, Esq. of Philadelphia, Penn

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02733 Laurie H. and Robert R. Basile, claimants vs. Sterling Foster & Co. Inc., and Mark Rosen, respondents. ATTORNEYS: Claimants appeared Pro Se, Commack, NY, For Respondents appeared Gregory M. Curley, Esq., of the Law Offices of Joseph D'Elia, Huntington, NY. DATE FILED: June 2, 1997 CASE SUMMARY: Claimant alleged that respondents misrepresented the

flPR.21.1998 9:29RM NRSD REGULflTION FL NO.588 P.I? NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of. Claimants Joseph A. and Paula lervolino Case No. 97-02718 Name of Respondent Smith Barney, Inc. REPRESENTATION OF PARTIES For Claimant: Robert C. Maland, Esq., Miami, Florida, For Respondent: Ellen Slipp Esq. of Smith Barney, Inc. ("SB"), New York. NY. , CASE INFORMATION State

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Steven Allender and Case Number 97-02710 Names of Respondents Olde Discount Corporation and Scott Campbell REPRESENTATION OF PARTIES Steven Allender ("Claimant") was represented by John O'Neill, Esq. and P. Diane Feiler, Esq. of Clements, O'Neill, Pierce & Nickens, LLP located in Houston. Texas in the pleadings and until approximately August 18, 1998. T

NASD REGULATION, INC. AWARD Case No. 97-02700 In the Matter of the Arbitration Between Name of Claimant Lawrence B. Benenson . Names of Respondents Euro-Atlantic Securities, Inc. John Vincent McEwan David Paul Mellilo REPRESENTATION For Claimant Lawrence B. Benenson ("Claimant") appeared Bruce D. Johnson, Esq. of the law firm Johnson & Thayer, LLP located in New York, New York. Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlanti