Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Steve Carlson Case No. 99-04620 Names of Respondents Olde Discount Corporation William Rich REPRESENTATION OF PARTIES For Claimant: Steele T. Williams, Esq. of Groner, Schieb & Williams, Sarasota, FL. For Respondents Olde Discount Corporation ("Olde") and William Rich ("Rich"): Donald P. Wray, Jr., Esq., Assistant Vice President and Corporate At

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04610 Sofia L. Dulay, claimant vs. Fidelity Investments a/k/a Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Encino, CA. For Respondent appeared in-house counsel, Richelle S. Kennedy, Esq., Boston, MA. DATE FILED: October 12, 1999 CASE SUMMARY: Claimant alleeed that resoondent erroneouslv filled two limit orders for 20 contracts of AOL Sept

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-4609 Joseph H. Green, Claimant vs. Fifth Third Securities, Inc., Respondent. ATTORNEYS: Claimant, Joseph H. Green, ("Claimant"), appeared Pro Se, Muskegon, MI. Respondent, Fifth Third Securities, Inc., ("Respondent"), appeared through its Compliance Officer, John L. McDaniel, Cincinnati, OH. DATE FILED: October 12, 1999. CASE SUMMARY: Claimant alleged that he bought 9,971 shares of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04608 Todd Wong, claimant vs. Vanguard Brokerage Services Inc., a division of Vanguard Marketing Corporation, respondent. ATTORNEYS: Claimant, Todd Wong, ("claimant"), appeared Pro Se., Pokfulam, Hong Kong. For Respondent, Vanguard Brokerage Services, Inc., a division of Vanguard Marketing Corporation, ("Respondent"), appeared Pauline C. Scalvino, Esq. Valley Forge, PA. DATE FILED

iVASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, TNC._ CASE: 99-04607 The Chester J. Derek Imer-Vivos Trust dated 1/14/97, Chester J. Derek, Trustee, claimant vs. The Golden Lender Hnaneiul Group, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se through its Trustee, Chester J. Derek, Saginaw, MI. For Respondent appeared Dan A, Dniz, Esq., Mnnasquan, NJ. DATE FILED: October 12, 1999 CASF SUMMARY; Claimant alleged that he opened an account

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04606 Marion Yueilig, claimant vs. Richard Brizzolara and Smith Barney Shearson, Inc., respondents. ATTORNEYS: For Claimant, Marion Yueilig, ("Claimant"), appeared Billie L. Warren, Esq., Cincinnati, OH. For Respondents, Richard Brizzolara and Smith Barney Shearson, Inc., (collectively "Respondents"), appeared in-house counsel John P Bevilacqua, Esq., New York, NY. DATE FILED: October

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Howard Altabet and Leona Altabet, (Claimants) vs. Investment Services Capital Co., Christopher Rani and Anthony Rani, (Respondents) Case Number: 99-04603 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants Howard Altabet and Leona Altabet, hereinafter collectively referred to as "Claimants": Kim Steven Juhase, Esq., Novak & Juhase, Woodmere, NY. Respo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Michael and Elaine Rose Case No. 99-04594 Names of Respondents MJ. Whitman, Inc. Thomas Michael Marshburn, Jr. REPRESENTATION OF PARTIES For Michael and Elaine Rose ("Rose"), hereinafter collectively referred to as "Claimants": Craig D. Stein, Esq. and Jack Stein, Esq., Stein, Rosenberg & Winikoff, P.A., Fort Lauderdale, Florida. For M.J.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Slavic Investment Corporation Slavic Mutual Funds Management Corp. Case No. 99-04591 Names of Respondents William D. Leetch AC Financial, Inc. REPRESENTATION OF PARTIES For Slavic Investment Corporation and Slavic Mutual Funds Management Corp. ("Slavic"), hereinafter collectively referred to as "Claimants": Russell L. Forkey, P.A., Ft. Lauderdale,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gruntal & Co., L.L.C. Case No. 99-04585 Name of Respondent Scott Son Hearing Location: Boston, MA REPRESENTATION OF PARTIES Claimant, Gruntal & Co., L.L.C. ("Claimant") was represented by: Nancy I. Blueweiss, Esq. of the law firm of Nancy I. Blueweiss, Counsellors at Law, Boston, MA. Respondent, Scott Son ("Respondent") represented himself.