Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul Nielsen and The Nielsen Trust, Claimants v. The Golden, Lender Financial Group, Inc., Amir Abrahm Yuzary, Tomer Matthew Yuzary, Yuzary Family LP, Lee Matthew Solomon, Jr., Earl John Swan ffl, Roman Sakharovich, Aron Oleg Bronstein, Bronstein Family LP, Foster J. Gibbons, and Penson Financial Services, Inc., Respondents Case Number: 99-05225 Hearing Site: Los Angeles, Cali

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stuart Palmer, (Claimant) vs. Kensington Wells, Inc. Et al. (Respondents). Case Number: 99-05224 Hearing Site: Denver, Colorado REPRESENTATION QF PARTIES Claimant, Stuart M. Palmer ("Claimant"): Richard Nervig, Esq.: Nervig and Vondran, Denver, Co. Respondent, Kensington Wells, Inc. ("Respondent Kensington Wells"): was unrepresented and in bankruptcy. Respondent, Bear

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE; 99-05221 Donald P. Watanabe, claimant vs. Bear Stearns Securities Corp., respondent. ATTORNEYS: For Claimant appeared John D. Cummins, Jr. Esq., of the firm Robinson, Curley & Clayton, P.C., Chicago, IL. For Respondent appeared Darya Geetter, Esq., in-house counsel for Bear Stearns Securities Corp., New York, NY. DATE FILED: November 19, 1999 CASE SUMMARY: Claimant alleged that re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Paul Mast and Jennie Mast and Names of Respondents Centennial Securities Company and Donald E. Beesley Case Number: 00-05545 Hearing Site: Detroit, Michigan REPRESENTATION QF PARTIES Paul Mast and Jennie Mast ("Claimants") were represented by Ronald J. Clark, Esq., Mika Myers, Beckett & Jones, PLC, Grand Rapids, Michigan. Centenni

t V. • Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: LINDA L. PREMO, Claimant, v. SALOMON SMITH BARNEY, INC. and John Doe, jointly and severally, Respondents. Case No.: 99-05220 Hearing Location: Saginaw, Michigan REPRESENTATION OF PARTIES Claimant, Linda L. Premo ("Premo"), hereinafter referred to as "Claimant": Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan. Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Derrick H. Richardson Case No. 99-05217 Intersecurities, Inc. Aegon USA, Inc. Western Reserve Assurance Co. of Ohio AUSA Life Insurance Company, Inc. Diversified Investment Advisors Hearing Sitp- Washington, D.C. RFPRFSFNTATTON OF PAttTTFS Claimant, Derrick H. Richardson ("Claimant") was represented by: David C. Simmons, Attorney at Law, Washington, D.C., an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cantor Fitzgerald & Co., (Claimant) vs. Tradition (North America) Inc. and Lainee Karpus, (Respondents) Case Number: 99-05215 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cantor Fitzgerald & Co., hereinafter referred to as "Claimant": Chaya F. Weinberg-Brodt, Esq., Kronish Lieb Weiner & Hellman LLP, New York, NY. Respondents, Tradition (North Americ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lisa Snitkoff and Richard Snitkoff, (Claimants) vs. Glen Sher and Advest, Inc., (Respondents) Case Number: 99-05211 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lisa Snitkoff and Richard Snitkoff, hereinafter collectively referred to as "Claimants": Eric J. Sussman, Esq., Garden City, NY. Respondents, Glen Sher ("Sher") and Advest, Inc., ("Advest"), hereinaf

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gordan Nevin, Claimant v. Michael Anthony Pollacia and John Rojas, Respondents Case Number: 99-05206 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Gordan Nevin, hereinafter referred to as "Claimant": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Fort Lauderdale, Florida. For John Rojas ("Rojas"): Alan J. Foxman, Esq., The Law Office of Alan J. Foxman, Boc

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05202 Merrill Lynch, Pierce, Fenner and Smith, Inc., claimant vs. Russell L. Keeton, respondent. ATTORNEYS: For Claimant appeared Suzanne S. Killian, Esq. of the firm Ogden, Gibson, White & Broocks, LLP, Houston, TX. Respondent did not respond to the Statement of Claim. DATE FILED: November 15, 1999 f" 1 A ^P 1 ^T"f"Vf"\/f A T?V' f^l limn tit n11»rrp>r( tT^ot-