NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas J. Neary Case No. vs. 97-02704 Name of Respondent The Prudential Insurance Company of America REPRESENTATION For Claimant Thomas J. Neary ("Claimant"), Thomas W. MeMejohn, Esq. from the law firm of Livingston, Adler, Pudla & Meikleljohn located in Hartford, Connecticut. For Respondent The Prudential Insurance Company of America ("Respondent"), Am

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Man-Nan Lu Yu and Chi-Chao Liang, Man-Nan Lu Yu and Lee-Sun Yu, and Lih-Hwa Chen and Richard Chau Liang Chen, and 97-02701 Name of Respondents Gruntal & Co., Inc., and Lucas L. Chan REPRESENTATION OF PARTIES Lih-Hwa Chen and Richard Chau Liang Chen, Man-Nan Lu Yu and Lee-Sun Yu, and Lih-Hwa Chen an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David and Diane Stark (Claimants) vs. Joseph Dillon & Company and Oleg Ferdman (Respondents) Case Number: 00-02024 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, David Stark ("D. Stark") and Diane Stark ("Di. Stark"), hereinafter collectively referred to as "Claimants", appeared pro se through David Stark. Respondent, Joseph Dillon & Company, Inc. ("

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: 97-02698 George W. Smith, claimant v. Euro-Atlantic Securities. Inc., respondent. ATTORNEYS: Claimant appeared pro se - Napervifc, IL. Respondent did not appear. DATE FILED: 5/31/97 ~~ CASE SUMMARY: Claimant alleged failure to execute order for the sale of common stock. Claim Data Claim: $6,674.40 Mental Anguish: Unspecified Interest: $0.00 Pun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the matter of the Arbitration Between Name of Claimant: Deborah M. Brown Case# 97-02691 Names of Respondents: Long Securities Corporation, Lawrence S. Jay, Albert Levingston REPRESENTATION For Claimant: Jonathan W. Evans, Esq. For Respondents: James L. Sanders. Esq. Sheppard, Mullin, Richter & Hampton LLP CASE INFORMATION Statement of Claim Filed: May 23, 1997

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ^ Robert S. Charnota 97-02689 Name of Respondents A.S. Goldmen & Company, Inc.; William Van Ness; Gregory Gaydos REPRESENTATION For Claimant: Robert S. Charnota ("Charnota") was represented by Paul J. Sussman, Esq., located in Chicago, Illinois. For Respondents: A.S. Goldmen & Company, Inc. ("Go

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Gini Stairs, Claimant, v. No. 97-02685 Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Gini Stairs ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss, P.C. located in Bingham Farms, Michigan. Respondent Merrill Lynch, Pierce. Fenner & Smith, Inc. ("Respondent" o

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marc Provenzano, (Claimant) vs. Kensington Wells Incorporated, Vasilios Lefkaditis, Frank J. Casillo, Adam D, Levy, and Bruce J. Guarino, (Respondents) Case Number: 97-02678 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Marc Provenzano, hereinafter referred to as "Claimant"; James A. Prestiano, Esq., a sole practitioner, New York, NY. Respondent

OCT. 5.1998 9=40nn NRSD REGULPTION FL MO.592 P.38 , - , ' ' NASD REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name Dorothy A&hcraft Case No. 97-02677 Names _pf Respondents Dean Witter Reynolds, Inc. Paul Horning, II REPRESENTATION For Claimant: John B. Lyle, Esq. of John B. Lyle, P.C., Marietta, Georgia. For Respondents: Allison Dtmefihey, Esq., Vice-President, Senior

JPN. 21. 1999 lliZBttl NO. 553 P. 31 NASD AWARD NASD Pfpd 8 **"*!, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert L. Onuteen Trust 97-02674 Names of Respondents Merit Capital Auociatn, lac. TkxanDcVon REPRESENTATION For Claimant: Michael T. JCranz, Esq. of Jones, Poster, Joimston & Stubba, P. A., Weft Palm Beach, Florida. For Respondent Merit Capital Associates, IDC. ('Meri