NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Gibraltar Securities Co. 96-05653 Name of Respondent Barry K. Gold REPRESENTATION For Claimant Gibraltar Securities Co. ("Claimant") appeared Sheldon M. Finkelstein, Esq., of the law firm Hannoch Weisman located in Roselan, New Jersey. For Respondent Barry K. Gold ("Respondent") appeared W. Hans Kobelt, Esq., of the law firm Polack & Kaminsky located in

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Mickie Spell Deborah Spell 96-05651 PaineWebber, Inc. Bill Ken, Jr. Michael J. Lingner REPRESENTATION For Claimants Mickie Spell and Deborah Spell ("Claimants") appeared Malvern F. King, Jr., Esq. of the firm Pulley, Watson, King & Lischer, P.A., located in Durham, North Carolina. For Respondents PaineWebber, Inc. ("PaineWebber") and Michael J. Lingne

NASD REGULATION, INC AWARD In the Matter of the Arbitration Between Name of Claim'.-it John F. Davie 96-05648 Name of Respondent American Express Financial Advisors, Inc REPRESENTATION For Claimant, John F. Davie ("Claimant") appeared Howard E. Berman, Esq., of Farrauto, Herman, Fontana & Selznick located in Yonkers, New York. For Respondent, American Express Financial Advisors, Inc. ("Respondent"), appeared Gary Jrwin, Esq., of in-house cou

AWARD NASD Regulation, Inc. Office of Dispute 1 Resolution In the Matter of the Arbitration Between Name of Claimant Janet Virginia Jay Revocable Trust and 96-05647 Name of Respondent -^Wedbush Morgan Securities, Inc. Daley Discount Securities JeffNovakovich REPRESENTATION OF PARTIES Janet Virginia Jay Revocable Trust ("Claimant") was represented by Kevin L. McDowell, Esq., Broizman, Buchholz & McDowell, Boulder, Colorado. ^

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05646 Harold and Susan Klemer, claimants v, L.T. Lawrence & Co., respondent. ATTORNEYS: For Claimants Claimants appeared pro se - Beverly Hills, CA. For Respondent Appeared Ruthann G. Niosi, Esq. - New York, NY. DATE FILED: 12/20/96 CASE SUMMARY: Claimants alleged failure to following instructions to sell EcoTyre Technolog ies, Inc. Warrants. C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01404 K.C. Remington, Claimant vs. Morgan Stanley Dean Witter Online, Respondent. ATTORNEYS Claimant, K.C. Remington, appeared Pro Se, Micanopy, FL. Respondent, Morgan Stanley Dean Witter Online, appeared through its in-house counsel, Richard Smith, Esq., New York, NY. DATE FILED: March 20, 2001 CASE SUMMARY: Claimant alleged Respondent had been negligent in handling the Claimant's

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Advanced Management, Inc. 96-05640 Name of Respondents Primerica Financial Services Investments Boston Alexander REPRESENTATION Claimant Advanced Management, Inc. ("AMI") was represented by Robert E. DeRight, Jr., Esq., New York, NY. Respondent Primerica Financial Services Investments ("PFSI") was represented by Michael Waldman, Esq. of Fried, Frank, Ha

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between! Name of Claimant Steven R. Bruno 1 J / ' . 96-05639 Name of Respondents VTR Capital, Inc. Phillipe Steinitz REPRESENTATION Claimant Steven R. Bruno ("Claimant") appeared pro se. For Respondents VTR Capital, Inc. ("VTR") and Phillip Steinitz ("Steinitz") appeared Perri Erianger, Esq. of the firm Bernstein & Wasserman located in New York, New

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Brendan McCarthy 96-05636 Name of Respondents Lehman Brothers Inc. Gerry Tamburro REPRESENTATION Claimant Brendan McCarthy ("Claimant") appeared pro se. For Respondents Lehman Brothers Inc. and Gerry Tamburro ("Respondents") appeared Thomas E. Hommel, Esq., in-house counsel for Lehman Brothers Inc., located in New York, NY. CASE INFORMATION The Statement

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Stan M. Erdieich 96-05635 Names of Respondents A.S. Goldmen & Company, Inc. Stuart E. Winkler Lisa Marie Cennamo REPRESENTATION Claimant Stan M. Erdieich ("Claimant") appeared pro se. For Respondents A.S. Goldmen & Company, Inc. ("Goldmen") and Stuart E. Winkler ("Winkler") appeared Lewis Goldberg, Esq., with law offices located in Norwalk, Connecti