Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Randall M. & Carol L. Swain, Claimants vs Case No. 99-04487 Salomon Smith Barney, Inc. Theodore A. Buck, Jr., Respondents Hearing Location: Baltimore, Maryland REPRESENTATION OF PARTIES Claimants Randall M. Swain, Sr. and Carol L. Swain ("Claimants") were represented by Jonathan A. Azrael, Esq., of the law firm of Azrael, Gann & Franz, LLP, Baltimore, Maryla

NASD Dispute Resolution Arbitration No. 99-04482 Award Page 1 of 6 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack P. Lerner (Claimant) v. Walsh Manning Securities, LLC, Madison Capital Markets Corp., Royce Investment Group, Inc., and Glen Rosenbloom, (Respondents) : Case Number: 99-04482 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jack P. Lerner, hereinafter referred to as "Claimant"

. Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Hilton J. Kimless Ina Kimless Case No. 99-04473 Names of Respondents Dean Witter Reynolds, Inc. Philip E. Rosensweig REPRESENTATION OF PARTIES For Ina Kimless and Hilton J. Kimless ("Kimless"), hereinafter collectively referred to as "Claimants": Russell Silverglate, Esq., Dickenson, Murdoch, Rex and Sloan, Boca Raton, Florida

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04470 Olde Discount Corp., claimant vs. Samir J. Abushanab, respondent. ATTORNEYS: Claimant appeared through in-house counsel, Aaron L. Kleid, Detroit, ML Respondent did not respond to the Statement of Claim. DATE FILED: October 1, 1999 CASE SUMMARY: Claimant alleged that respondent failed to repay a debit balance resulting from claimant's removal of money erroneously transferred i

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04469 Tzveta Hristova Stamenova & Kalinka Hristova Moudrova, claimants vs. Dreyfus Brokerage Services, respondent. ATTORNEYS: Claimants appeared Pro Se, Brooklyn, NY Respondent appeared through its President, Gary Martino, Beverly Hills, CA DATE FILED: October 1, 1999 CASE SUMMARY: Claimant alleged respondent Dreyfus Brokerage Services failed to execute their options buy and se

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: West America Securities Corp., Claimant v. Jason Vitulano, Respondent Case Number: 00-05497 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant West America Securities Corp.: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent Jason Vitulano: Jason Vitulano In Propria Persona Glen Cove, New York CASE INF

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Miles & Rosalie C. Lerman Case No. 99-04468 Name of Respondent CIBC Oppenheimer Corp. Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants, Miles and Rosalie Lerman ("Claimants") were represented by: William A. Harvey,Esq. and Susan M. Dean, Esq. of the law firm of Klehr, Harrison, Harvey, Branzburg & Ellers, LLP, Philadelphia, PA.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Prime Charter LTD., (Claimant) vs. Joaquin R. Gager, (Respondent) Case Number: 99-04466 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimant, Prime Charter LTD ("Prime"), hereinafter referred to as "Claimant": Scott D. Stechman, Esq., Lehman & Eilen LLP, Uniondale, NY. Respondent, Joaquin R. Gager ("Gager"), hereinafter referred to as "Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nori, Hennion, Walsh, Inc., (Claimant) vs. Daniel Deroche, (Respondent) Case Number: 99-04465 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Nori, Hennion, Walsh, Inc., hereinafter referred to as "Claimant": Michael V. Colvin, Esq., Dressier, Amery, & Ross, Florham Park, NJ. Respondent Daniel Deroche, hereinafter referred to as "Respondent": Robert M.

Award NASD Dispute Resolution, Inc. Case No. 99-04459 Hearing Site: Chicago, IL In the Matter of the Arbitration Between Name of Clairnant Edna Key Name of Respondent Best Vest Investment Brokerage Services Dean Hendricks REPRESENTATION OF PARTIES Claimant Edna Key ("Edna Key") was pro se. Edna Key is located in Chicago, Illinois. Respondent Best Vest Investment Brokerage Services("BVI") was represented by Nicholas J. Guiliano, E