NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05718 Siu Chuen Chan, claimant vs. Continental Broker-Dealer Corp. and Vane Boyajian, respondents. ATTORNEYS: For Claimant appeared Steven C. Cunningham, Esq., of the Law Offices of Raymond H. Wong, P.C., New York, NY. For Respondents appeared Dominick Bianco, Chief Compliance Officer of Continental Broker- Dealer Corp., Carle Place, NY. DATE FILED: October 25, 2001 CASE SUMMAR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Charles E. Smith, and E. Ruth Smith, Claimants, V. No. 94-01727 R.G. Dickenson & Co. n/k/a Dickenson & Co., Respondent REPRESENTATION OF PARTIES Charles E. Smith, and H. Ruth Smith ("Cbimants") were represented by Bruce Pearson from Fargo, North Dakota. Respondent Dickenson & Co. ("Respondent") was represented by Catherine Gnatek, Esq. of Dorsey & Whimey, Miimeapolis, Minnesot

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mark Block, guardian for Jean Gartner 94-01691 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Asher Bar-2:ev David Yerkes CAgg SVMMAKY In a claidi flied with the National Association of Securities Dealen, Inc. on May 5, 1994, Claimant Mark Block, guardian for Jean Gartner, who appeared Pro Se, alleged t

N.A.S.D. AWARD NATIONAL ASSOaATlON OF SECURinES DEALERS In the Matter of the Aibitration Between Name of Claimant James R. Roth 94-01680 Name of Respondents Constitution Investment Services, Inc., and Kenneth W. Gneuhs Representation of Parties Claimant James R. Roth ("Claimant") was represented at the hearing by Paul J. Sus&man, Esq. of the Law Offices of Paul J. Sussman, Chicago, Illinois. Respondents, Constitution Investment Services,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCtlRITIES DEALERS In Che Hatter- of the Arbitration Between wame ef Claimarm Winifred Seghers 94-0X246 Name of Haapondanl. Fidelity Investments REPRHSEMTATION Claimant, Winifred B. Seghers was represented by William D. Cox, Esq. cf Dallas, Texas. Respondent, Fidelity Investments was represented by William B. Federman, Esq. of Ulclahoma City, OK.. CASE INFORMATION Statement of Claim was

« N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCURITIES DEALERS In die Matter of the Arbitration Between NftmenfClaimait Mark R. Bower 94^1233 Name of Respondent M. Rimson&Co.. Inc. REPRESENTATION Oaunant Mailc R. Bower ("Bower") appeared pru se. Respondent M. Rimson & Co.. Inc., ("Rimson") did not appear. CASE INFORMATION Statement of Claim filed on: June 3, 1994. Claimant's Submission Agreement signed on: March 21, 1994. Respondem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimants Tertence and Nancy Croasdaile 94-01S02 Name of Respondents Hibbaid Brown & Co., Inc. Brian E. Manin CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on i^iril 20,1994, Claimants Tenence and Nancy Croasdaile, who appeared Pro Se, alleged that Respondent Brian E. Martin ("Martin"), a br

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between l>j[a]pe of Claimant Marshal] Klieman 94-00741 Name pf Responfient Con.solidated Investment Services, Inc. CASESLMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 25, 1994, Claimant Marshall Klieman, who appeared Pro Sc, alleged that on December 2, 1993, Claimant began licensing procedures with Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS . AWARD In the matter of the Arbitration Between Leo L. Dee*- Claimam V. Presidential Brokerage, Inc. Eric J-Lempe Respondents NASD Atbitraiion No. 944)1854 REPRESENTATION ForClaimam: PaulW.Thonus,Esq.,Carisbad,California For Respondents: Gregg A. Johnson, Esq., Sen Diego, California CASE INFORMATION Statemem of Claim filed: May 17,1994 Claimant's Submission Agreement signed: Mar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Art)itzation Between Name of Claimant CannelleM. Belleflcur 94-01852 WMlggfRfiglfflriCTIg Citicoip Investment Services Paul Glunta MPBRSFIWTATrnV For Claimant Cannelle M. Bellefleur ("Claimant") appeared John E. Lawlor, Esq., locatecfln Garden City, New Yoric. F6r Respoadenes Paul Giunta ("Giunta") and Citicoip Investment Services ("Citicocp") apgeareo Ada