Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; George Postupak and Mary Postupak, (Claimants) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 00-01981 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, George Postupak ("G. Postupak") and Mary Postupak ("M. Postupak"), hereinafter collectively referred to as "Claimants": Robert J. Hausen, Esq., Robert J. Hausen, P.C., New York

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Davis S. Ken- and Claire T. Kerr vs. Case No. 97-02287 Name of Respondents The Madrid Group, Inc. Manuel I. Madrid, Sr. Manuel I. Madrid, Jr. REPRESENTATION For Claimants David S. Kerr ("Kerr") and Claire T. Kerr (collectively "Claimants") appeared Jeffrey G. Pittell, Esq., a sole practitioner with offices located in New York, New York, For Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Datek Securities Corp., Claimant vs. Dean Youngquist, Respondent. Case Number: 97-02281 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimant, Datek Securities Corp. ("Datek"). hereinafter referred to as "Claimant": John L. Erikson, Jr., Esq., Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P., Los Angeles, California Respondent, Dean Youngquist ("Youngquist"), herei

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Three Lyons Limited Partnership, Claimant v. The Harriman Group, Peter Joseph Rossero, Angelo John Bosco, Mark Hanna, Joseph Tuozzo, Brian Scanlon, Scott Follett, Thomas Fede, Anthony Joe, and Stephen Craig Palumbo, Respondents. Case Number: 97-02274 Hearing Site: Los Angeles, California REPRESENTATIONOF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Ca

! f -998 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN: ) ) EVEREN SECURITIES, INC., ) ) Claimant, ) } NASD CASE NO. 97-02273 v- ) ) LAWRENCE E. ALIOTO, ) ) Respondent ) .. - ) * * * + ' AWARD BY CONSENT /tf>R 3 0 REPRESENTATION ,„„-.- For Claimant: Bruce Lewitas For Respondent: Lawrence Alioto, Esq. CASE INFORMATION Statement of Claim filed o

APR.13.1998 7:36flM NftSD REGULfiTIOH FL NO.380 P.12 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dennis T. and Lori Alderman 97-02272 Names of Respondents Winston Rodgers & Otalvaro, Inc. Carlos Otalvaro Lawrence Rodgers Lesley Winston REPRESENTATION For Claimants: Michael A. Hanzman, Esq. and Jeffrey B. Kaplan, Esq. of Hanzman, Cridcn, Korge & Chay

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02265 Harold Gurvick, claimant v. Merrill Lynch Pierce Fenner & Smith Inc, respondents. ATTORNEYS: Claimant appeared pro se - Wembley Park Middlessex, England. For respondent appeared Daniel A. Gardella, Esq. - London, England. DATE FILED: 5/6/97 CASE SUMMARY; Claimant alleged breach of fiduciary duty and negligence. Claim Data Award Data Claim: $9,243

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard J. Bretz, (Claimant) vs. Dean Witter Reynolds, Inc., (Respondent.) Case Number: 97-02259 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Richard J. Bretz (hereinafter referred to as "Claimant"): Alvin H. Goldstein, Esq. Goldstein & Musto, One Embarcadero Center, Eighth Floor, San Francisco, CA 94111. Respondent, Dean Witter Reynolds, Inc., (hereinafter refe

JUN.18.1998 ?:38flM NfiSD REGULflTION FL NO.066 p.18 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Richard Matricaria Names Case No. 97-02257 Edward Aboud Olde Discount Corporation REPRESENTATION OF PARTIES For Claimant Richard Matricaria ("Matricaria"): David A. Coven, Esq., Fort Lauderdale, Florida. For Respondents Edward Aboud ("Aboud") and Olde Discount Corporation ("Olde"}:

NASD REGULATION. IHC . In the matter of the Arbitration Between Name, of Claimant (a) Armstrong International, Inc. Kenneth Armstrong Arbitration No. 97-02256 Name. ..of Respondent; (sj Steven Vornea REPRESENTATION For Claimants: Michael P. Gilmore, Esq., Wexler & Burkhart, P.C., Mitchel Field, New York For Respondent Steven Vornea: Steven Vornea, Brookville, New York CASE INFORMATION Statement of Claim filed: May 5, 1997 Cla