Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra Jo Kennemer, an individual and as beneficiary of the Sandra Jo Kennemer IRA Cont., the Sandra Jo Kennemer Roll IRA, the Sandra Jo Kennemer IRA Rollover, and the Sandra Jo Kennemer IRA (Choice), Claimants v. Wedbush Morgan Securities and Philip R. Crabb, Respondents Case Number: 00-05559 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Edward

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant \ James V. Rider and Judy K. Rider , - and 99-05308 Kansas City, Missouri Name of Respondents Fahnestock & Co., Inc. Terry Beeman REPRESENTATION OF PARTIES James V. Rider and Judy K. Rider ("Claimants") were represented by Roger N. Walter, Esq. And Susan R. Schrag, Esq., Morris, Laing, Evans, Brock & Kennedy, Chtd., Topeka, Kansas. Fahne

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Phillip Labarbera Claimant and 99-05307 Dallas, Texas Jay Kent and Merrill Lynch Pierce Fenner & Smith. Inc. Respondents REPRESENTATION OF PARTIES Phillip Labarbera ("Claimant") was represented by Edward J. Hennessy, Esq., Hennessy Gardner & Garth, Houston, Texas. Jay Kent and Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondents") were represented by Char

>ot- Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shahram Levi, Claimant v. Morgan Stanley Dean Witter Reynolds, Inc., Henry Fereydouni Hamid Fereydouni, Marjan Kamyar a/k/a Martan Kamyar a/k/a Marge Kamyar, and William E. Smith, Respondents Case Number: 99-05301 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Bradd L. Milove, Esq. Brian Miller, Esq. Mi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-05300 Olde Discount Corporation, claimant vs. George & Ted Apostolopoulos, respondents. ATTORNEYS: For claimant appeared Aaron L. Kleid, Esq., in house counsel for Olde Discount Corporation, Detroit, Ml. Respondents did not respond to the Statement of Claim. DATE FILED: November 24, 1999 CASE SUMMARY: Claimant alleged that respondents failed to repay the debit balance on their

or o^c\n>.-i AS/- 7/s;< Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Aristides Bantis, (Claimant) vs. New Times Securities Services, Inc., Samuel Contstantis, Andrew W. Holtmeyer, Carl J. Holly, Michael J. Silk, and Maria L. Minguez, (Respondents) Case Number: 99-05299 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Aristides Bantis, hereinafter referred to as "Claimant": Marc Ross, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Perex Proprietary Ltd., (Claimant) vs. Roan Capital Partners, LP, Daniel J. Subarsky, Robert J. O'Brien, Tim Doran, and Jeff Orenstein, (Respondents) Case Number: 99-05297 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Perex Proprietary Ltd., hereinafter referred to as "Claimant": Brian H. Reis, Esq., Brian Reis & Associates, New York, NY. Respondents

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ines Muhlfield, (Claimant) vs. Fidelity Brokerage Services, Inc. (Respondent) Case Number: 99-05296 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Ines Muhlfield, hereinafter referred to as "Claimant": James Geist with Power of Attorney for Claimant, New York, NY. Respondent Fidelity Brokerage Services, Inc., hereinafter referred to as "Respondent": Mi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: #99-05293 Genevieve Lewandowski, claimant vs. Mutual of Omaha Investor Services, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Southampton, NJ. Respondent appeared through its Vice President, Finance and Treasurer, William J. Bluvas, Omaha, NE. DATE FILED: 11/22/99 CASE SUMMARY: Claimant alleged that respondent charged a surrender fee, which was not applicable, when she

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05292 Ameritrade, Inc., claimant vs. Steven Noh, respondents. ATTORNEYS: For Claimant appeared in-house counsel, Eric E. Hamilton, Esq., Bellevue, NE. Respondent did not respond to the Statement of Claim. DATE FILED: November 24, 1999 CASE SUMMARY: Claimant alleged that the respondent failed to pay an unsecured debit balance in his account and all attempts to collect the balance wa