AWARD NATIONAL ASSOaATION OF SECURITIES DEALERS REGULATION, INC. In die Matter of the Arbitration Between ~ Names of Claimants Jack Stark as Trustee for the Jack Stark Revocable Livuig Tmst Irene Stark as Trustee for the Irene Stark Revocable Living Trust Martin Stark as Trustee for die Martin Stark Revocable Living Tmst Adeline Stark as Tmstee for the Adeline Stark Revocable Living Trust Harold Sussman as Co-Tmstee of the Harold and Hannah Sussman Revo

.NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: EDWARD C. SAUNDERS, Claimant, v. NOMURA SECURITIES INT1ERNATI0NAL* INC., STANLEY LOMAX, SMITH BARNEY, TJ^., '"' MERRILL LYNCH & COMPANY. INC., Respondents. NASD NO. 95-05298 NASD AWARD ATTQRMEYS FOR CLAIMANT Jeffrey Liddle, Esq. Marc A. Susswein, Esq. Liddle & Robinson L.L.P. 685 Third Avenue New York, New York 10017 ATTORN

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Natne of Claimant Harold S. Okin 95-05930 Name of Respondent Vision Investment Group, Inc. CASE SUMMARY In a claim filed widi die National Association of Securities Dealers, Inc. on December 19, 1995 Claunant Harold S. Okin ("Claimant"), who appeared Pro Se, alleged that Respondent Vision Investment Group, Inc. ("Respondent") made unauthorized

Award NASD Dispute Resolution, Inc. In die Matter of tiie Arbitiation Between: Helen Belanger and Andre Belanger, (Claunants) vs. Thomas Taylor, First Montauk Securities Corp., Rockefeller, Rothschild & Steele, Richard K. Steele, Roy Alan Elterman, John Fayolle, Shih-Suey Pai, and Biyan Metz, (Respondents) Case Number: 95-05826 Hearing Site: New York. New York REPRESENTATION OF PARTIES Claimants, Helen Belanger ("H. Belanger") and Andre Belanger ("A. Be

95-05524 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter bf die Arbitration Between Name of Claimantfs) Alonso Bello N^e of Respondent's) MetLife Securities, Inc. Metropolitan Life Insurance Co. REPRESENTATION For Claimant, Alonso Bello ("Claimant"), appeared John E. Lawior, Esq. located in Garden City, New York. For Respondents. Medife Secuiities, Inc ("MSI") and Metropolitan Life Insurance Company ("MLIC"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of aaimant Muriel B. Schlein 95-02655 Name of Respondents First Albany Corporation Stacy Hofhnan REPRESENTATION For Claimant, Muriel B. Schleui ("Claimant"), Julie Goldman and Mark J. Alonso of the Law Offices of Maik J. Alonso, P.C, located in New Yoik, New Yoric. For Respondents, First Albany Coiporation ("First Albany") and Stacy Ho

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Sands Brothers & Co., Ltd. 95-05301 RAS Securities Corp. REPRESENTATION For claimant Sands Brothers & Co., Ltd. ("claimant"), appeared Richard A. Roth, Esq. of the law firm of Littman Krooks & Roth, P.C. located in New York, New York. For respondent RAS Securities Corp. ("respondent") appeared Sheldon H. Gopstein, Esq. with law offices located in New Yorit, New York.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: I Willie Bradley, Frank & Shirley Carvalho, Cynthia Carrillo, Carmen Fitch, Linda Kelley, John & Irene Loper, John & Mary Massella, Daniel & Lynn Mullens, Anne Opriska, Anne Schmidt, Paul & Kelly Sznaider and Dale Wagner v. American Income Securities and Alvin M. Cohen, Respondents i Case Number: 99-03941 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants PaineWebber, Inc. vs. Case No. 97-02576 Name of Respondent Michael Sawyer REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant") appeared M. Major Khan, Esq., Associate Genera] Cotmsel, PaineWebber, Inc. For Respondent Michael Sawyer ("Respondent") appeared Andrew P. SaiUitis, Esq., with law offices located in New York, New York. CASE INFOR

NASD DISPUTE RESOLLTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:99-05779 Prasad Joshi, claimant vs. Salomon Smith Bamey Inc., respondent. ATTORNEYS: For claimant appeared Andrew F. Caplan, Esq., of the firm, Perkins, Smith & Cohen, LLP, Boston, MA For Respondent appeared in-house counsel, Joatme M. Chormanski, Esq., New York, NY DATE FILED: December 31, 1999 CASE SUMMARY: Claimant alleged error in handling the stop-loss order placed for 500 sha