N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Anne M. and John Primarolo 96-01219 Name of Respondents Michael A. Lodispoto Landmark International Equities REPRESENTATION Claimants Anne M. and John Primarolo ("Claimants") appeared pro se. Respondents Michael A. Lodispoto ("Lodispoto") and Landmark International Equities ("LIE") did not appear.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between of 96-01215 Interior Product Design, Inc., Leonard Eisen and Joan Eisen, as Trustees FBO Interior Product Design, Inc. , Employees 1 Retirement Plan and Trust, and Leonard Eisen and Joan Eisen, as Trustees FBO Interior Product Design, Inc., Pension Plan and Trust Nyiqp of fiespondents The Harriman Group, Inc. Brian Scanlon Stephen Palumbo REPRESENTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles Cassaro 96-01213 Name of Respondents A.S. Goldmen & Company, Inc. James Barbour CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1996, Claimant Charles Cassaro ("Claimant"), who appeared Pro Se, alleged that Respondents A.S. Goldmen & Co. ("A.S. Goldmen") and James

f N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph Doria, Sr. 96-01212 Name of Respondents A.S. Goldmen & Company, Inc. James H. Barbour, III CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1996, Claimant Joseph Doria, Sr. ("Claimant"), who appeared Pro Se, alleged that Respondents A.S. Goldmen & Co. ("A.S.

n "/ o ? o \ *5 NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gerald D. Dana 96-01210 Name of Respondents A.S. Goldmen & Company, Inc. Michael Taranto Neil Ronga REPRESENTATION Claimant GeraJd D, Dana ("Claimant") appeared pro se. Respondent A.S. Goldmen &Co. t Inc. ("ASG") was represented by Carole R. Bernstein, Esq., Westport, CT.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Susan Richards a/k/a Susan Schlueter and The Estate of Charles Richards, (Claimants) vs. Prudential Securities, Inc., Ronald Harris and Nunzio Garzino, (Respondents) Case Number: 96-01208 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Susan Richards a/k/a Susan Schlueter and The Estate of Charles Richards, hereinafter collectively referred to as "Claimants": W. Randol

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant r^e ]\hnphf;T 01-01182 Kamlesh Chopra (Master Case) Name of the All-Tech Investment Group, Inc. (n/k/a All-Tech Direct, Inc.) Penson Financial Services, Inc. ing Site- Troy, Michigan hi the Matter of the Arbitration Between: 01-01679 All-Tech Investment Group, Inc. (Subordinate Case) Kamlesh Chopra ing Sit p ' Troy, Michigan Nature of t

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Martha Marin 96-01207 Name of Respondents Capital Markets America, Inc. Harvey A. Wall REPRESENTATION For Claimant Martha Marin ("Claimant") appeared David E. Robbins, Esq. of the law offices of Kaufmann, Feiner, Yamin, Gilden, Robbins located in New York, New York. For Respondent Capital Markets America, Inc. ("CMA") and Respondent Harvey A. Wall

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-01204 Name of Respondent W. Keats Nicoll REPRESENTATION Claimant Dean Witter Reynolds Inc. ("Claimant") was represented by Thomas C; Costello, Esq. of the Law Offices of John West III, Baltimore, MD. Respondent W. Keats Nicoll ("Respondent") was represented by Patricia D. Douglass,

JfiN.10.1999 isilPM NfiSD BOCfl NO.600 P.ll AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Ralph A. Fisher, Jr.; Freda Fisher; ; Ralph & Freda Fisher Charitable Trust; Ralph. A* Fisher, Jr. Revocable Trust ; and Freda Fisher Revocable Trust ' : NASD CASE NO. 96*01199 i i Names of Respondents j i Merrill Lynch, Pierce, Fanner & Smith Inc. • and Michael E. Blankenstrfp " i For Claimants; Charies E, Steinberg,