Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Arthur H. Curtis Case No. 98-04869 Royal Palm Investments Ltd. Roland Imre Greenspan Claik Fernando Gambairotti Michael Anthony Scaramellino Elliot Gayer Robert Edward Mitchell REPRESENTATION OF PARTIES For Arthur H. Curtis, hereinafter referred to as "Claimant": Nicholas D. Thomas, Esq. of the law firm of Nicholas D. Thomas, Raleigh, North Carolina. Roy

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03795 Charles Schwab & Co., Inc., claimant vs. Trang Yen Vo, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Claimant"), Stephen Berkeley, Esq. Gomberg, Kane & Fischer, Ltd. Chicago, IL. Respondent, Trang Yen Yo ("Respondent"), did not respond 10 Claimant's Statement of Claim. DATE FILED: August 18, 1999 CASE SUMMARY: Claimant alleged that

Award NASD Dispute Resolution, Inc. Tn the .Matter of fhe \rhitr;irion R:T\\\\?!T Mansoor Ghaneeian and Fariba Ghaneeiun. Claimants v. Wedbush Morgan Securities, Inc., Waldron & Company. Inc., Cery B. Perle, Jon G. Aubry, Edward F. Harris, Aubry Perle Holdings, Inc., and Centura Investments, Inc., Respondents Case Number: 98-04862 Hearing Site: Los Angeles. California REPRESENTATION OF PARTIES For Claimants: For Respondent Wedbush Morgan Sec

Award NASD Regulation, Inc. In the Matter of tlie Arbitration Between; E. June Burke, (ClaiTnr«nt) vs. U.S. Bancoi-p Inve-stment Inc.. (Respondent). Case Number: 98-04861 Hearing Site: Portland. Oregon. REPRESENTATION OF PARTIF^ E. June Burke hereinafter referred to as "Claimant": Represented herself, pro se. U.S. Bancorp Investment Inc. hereinafter referred to as "Respondent": Brian S. Hcllbcrg. Esq., Piper Jaffray Inc., Minneapolis, Minnesota. Sta

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04858 James E. Little, claimant vs. Gerald Roth, respondent vs. Mario Volpe. ATTORNEYS Claimant James E. Little ("Claimant") appeared Pro Se., Wayne, PA. For Respondent Gerald Roth ("Roth") Mauricio A. Malagon, Esq. of Malalgon & Nuzzo New York, NY For Respondent Mario Volpe ("Volpe") Ernest Edward Badway of Saiber, Schlesinger, Satz, & Goldstein Newark, N

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lucille Sadlo and The Estate of Michael Sadlo, (Claimants) vs. Eugene J. Pessecow, Reliance Financial Group; Advantage Capital Corporation, and Securities America, Inc., (Respondents) vs. Morgan Stanley Dean Witter & Co. (Third-Party Respondent) Case Number: 98-04857 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Lucille Sadlo ("Sadlo") and The Estate of

Award NASI) Regulation, Inc. In the Matter of the .Arbitration Between: Jean Ann Fujen. Claimant vs. ML. Stern &. Co., Ini.-., Dennis Robrcck and David Sicgel. Respondents. Case Number: 98-04856 Hcarina Site: San Francisco. CA REPRESENTATION OF PARTIKS Claimant, Jean .Ann Fajen ("Claimant"): /// Pro Per, 4816 F Parkway, Sacramento, CA 95823. Respondents. M. L. Stem & Co., Inc.. ("M.L. Stem"); Dennis Robreck ("Robreck") and David Siege! ("Siegel"): J

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Richard P. Dun- Case No. 98-04851 Names of Respondents Dalton Kent Securities Group, Inc. David K. Choe Levant Bishop REPRESENTATION OF PARTIES For Claimant: Donald W. Washington, Esq. of Jeansonne & Remondet, Lafayette, LA. For Respondents Dalton Kent Securities Group, Inc. ("Dalton Kent"), David K. Choe ("Choe"), and Levant Bishop ("Bishop"): Davi

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ramsey McLean, (Claimant) vs. D.H. Blair & Co., Inc., D.H. Blair Investment Banking Corp., Kenton E. Wood, Joseph .Morton Davis, Vito R. Capotorto, and Michael Weinman, (Respondents) Case Number: 98-04838 Hearing Site: Now York, NY REPRESENTATION OF PARTIES Claimant. Ramsey McLean, hereinafter referred to as "Claimant": Steven B. Caruso, Esq., Maddox, Koeller, H

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janice Serra, (Claimant) vs. Janney Montgomery Scott Inc., Gruntal & Co., L.L.C., and Brian M. Donegan, (Respondents) Case Number: 98-04835 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Janice Serra ("Serra"), hereinafter referred to as "Clahnant": Joseph W. Anthony, Esq., Fruth & Anthony, P.A., Minneapolis, MN. Respondent, Janney Montgomery Scott In