Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Chae Yoo Case No. 00-05376 ABN AMRO Inc. Rendelle A. Yzer Timothy P. Stocker Andrew R. Bellamah Richard J. Schubert Bellamah Neuhauser & Barrett, Inc. David R. Carroll Hearing Site: Washington, B.C. REPRESENTATION < ">*? PA Claimant, Chae Yoo ("Yoo"), hereinafter referred to as "Claimant": Robert A, Quiqley, Esq., Attorney at Law, Washington, D.C.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Elizabeth M. Ritchey, Jane R. Kellogg and Linda R. Dohrmann acting as the Personal Representatives of the Estate of Elizabeth T. Ritchey NASD CASE NO. 96-00485 Names of Respondents Dean Witter Reynolds Inc. and James Zientara REPRESENTATION For Claimants: Neal J. Hurwitz, Esq. and James G. Simms, Esq. of the Law Offices of Neal J. Hurwitz, New Yor

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Antone W. Nocero, PaineWebber, Inc., and David B. Rees, and PaineWebber, Inc., David B. Rees, Claimant, v. Respondents, Cross-Claimant, v. No. 96-00484 Cross-Respondent. REPRESENTATION OF PARTIES Claimant Antone W. Nocero ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman Trogan Young & Schloss, PC, lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Gaimant GKN Securities Corp. 96-00483 Name of Respondent Raul Montero CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February I, 1996, Claimant GKN Securities Corp. ("Claimant"), through its representative and in-house counsel Katherine Nathan, Esq., alleged that on or about October 4, 1994, R

N.A.S.D. REGULATION AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Kern Gregory Rodeberg 96-00479 Name of Respondents Stratton Oakmont, Inc. (Bankrupt) Richard Arthur Miller Robert William Koch, H Daniel Mark Porush REPRESENTATION For claimant Kern Gregory Rodeberg ("claimant") appeared Mary K, Rodeberg, Esq. located in Atlanta, Georgia. Respondent Stratton Oakmont, Inc. ("Stratton") filed a bankruptcy petition

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 96-00465 Name of Respondent Hector Durant. II CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1996, claimant GKN Securities Coip. ("claimant"), who appeared through its representative and in- house counsel, Katharine Nathan, Esq., alleged that responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 96-00456 Name of Respondent Flying Diamond Enterprises, Inc. M/P Pen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1996, Claimant Prudential Securities, Inc. ("Claimant"), through its representative, Linda A. Gallagher, Esq., of the law firm of

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Maxwell Kaplan and Patricia Kaplan v. Name of Respondents Monterey Bay Securities, Inc., Robert Blanchard, Kenneth Doolittle, Walter Hickey, and Mitchell Brater NASD Regulation, Inc. Arbitration No. 96-00454 REPRESENTATION For Claimants: For Respondents Monterey Bay Securities, Inc. and Kenneth Doolittle:

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Frederick Mengarelli Claimant NASD Regulation., Inc. v. No. 96-00449 Merrill Lynch Pierce Fenner & Smith, Inc. Roger P. Gugger Respondents REPRESENTATION OF PARTIES Frederick Mengarelli ("Claimant") was represented by Arthur S. Leider, Investors Arbitration Specialist, San Diego, California. Merrill Lynch Pierce Fenner & Smith, Inc. an

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant First Albany Corporation --»-**— Case No. vs. 96-00441 Name of Respondent Michael T. McKeough REPRESENTATION For Claimant, First Albany Corporation ("Claimant 11 ), Arthur F. Dicker, Esq., located in Delmar, New York. Respondent, Michael T. McKeough ("Respondent"), was not represented by counsel at the hearing but appeared pro se and is loca