Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond M. Congelosi and Maurizio Rossitto (Claimants) vs. Morgan Stanley Dean Witter, Inc. and Thomas Bivona, (Respondents) Case Number: 99-05291 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Raymond M. Congelosi ("Congelosi") and Maurizio Rossitto ("Rossitto"), hereinafter collectively referred to as "Claimants": Howard M. Rosenfield, Esq., Hartford,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Szazi, Beral Inc., Maya C. Likar, Andrew Racz, Quaestor RTS, and Quaestor USA, (Claimants) vs. Raymond Dirks, Jesse Dirks, Dirks & Co., Security Capital Trading Inc., and Milton Netcher, (Respondents) Case Number: 00-05558 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Frank Szazi ("Szazi"), Beral Inc. ("Beral"), Maya C. Likar ("Likar"), Andrew Racz

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Allan Eisenkraft (Claimant) v. Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. (Respondent) Case Number: 99-05286 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Allan Eisenkraft ("Eisenkraft") hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmington, CT. Respondent Prudential

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adrian J.R. Oosthuizen, Claimant vs. Bear, Stearns & Co., Inc. and Jedd F. Dunas, Respondents Case Number: 99-05281 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Adrian J.R. Oosthuizen For Respondents: Bear, Stearns & Co., Inc. ("Bear Stearns") Dunas ("Dunas") Glenn E. Westreich, Esq. Lillick & Charles LLP San Francisco

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant S. Hamilton Chaney Case No. 99-05273 Name of Respondents Prudential Securities, Inc. James A. Kujawski Hearing Location: Baltimore, MD REPRESENTATION OF PARTIES Claimant, S. Hamilton Chancy, liereinafter referred to as "Claimant": Brice G. Dowell, Esq., Attorney at Law, Towson, MD. Respondents, Prudential Securities, Inc. ("Prudential") and

^vj anul&i '••/ < /•>•• /'/V^^ Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Valli Leigh Perisho v. Raymond James Financial Services, Inc., Raymond James Financial, Inc., Raymond James & Associates, Inc., Robert Thomas Securities, Inc., and Destry Witt Case Number: 99-05270 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimant Valli Perisho: Brian Posewitz, Esq., Tonkon Torp, LLP, Portla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patrick LoRusso, (Claimant) vs. Madison Capital Markets Corp. and Joseph Papeo, (Respondents) Case Number: 99-05265 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Patrick LoRusso, hereinafter referred to as "Claimant": Patrick Joyce, Esq., Freidson & Joyce L.L.P., New York, NY. Respondent, Madison Capital Markets Corp. ("Madison"), did not appear at t

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Patrick and Deborah E. Morin, Claimants Case Number: 99-05258 Vs. Hearing Site: Cleveland, Ohio Key Investments, Inc., Respondent. REPRESENTATION OF PARTIES Claimants Patrick and Deborah E. Morin ("Morin") were represented by Charles P. Royer, Esquire, of Kaufman & Cumberland Co., L.P.A., Cleveland, Ohio. Respondent Key Investments, Inc. ("Key") was represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names r of Claimants Ruth G. Stape Trust Ruth G. Stape Case No. 99-05256 Names of Respondents Jack T. Gurr Richard B. Crouse G.A. Repple & Company GVC Financial, Inc. REPRESENTATION OF PARTIES For Ruth G. Stape Trust and Ruth G. Stape, hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq., Orlando, FL. For Respondents Jack

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Keith A. Denison and 99-05254 Scottsdale, Arizona Name of Respondents Prudential Securities, Inc. Rhonda Lynn Rommel Joseph John Clancy REPRESENTATION OF PARTIES Keith A. Denison ("Claimant") was represented by Paul J. Roshka, Jr., Esq. and Alan S. Baskin, Esq., Roshka Heyman & DeWulf, PLC, Phoenix, Arizona. Prudential Securities, Inc. (