Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald C. DiMaggio, (Claimant) v. Credit Lyonnais Securities, Inc. and Doug Stone, (Respondents) Case Number: 99-04582 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Donald C. DiMaggio, hereinafter referred to as "Claimant": Dan Brecher and Eric Ross, Esq., Law Offices of Dan Brecher, New York, NY. Respondents Credit Lyonnais Securities, Inc. ("CLS") and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Guardianship and Estate of Delores Bakun, (Claimant) vs. Salomon Smith Barney, Inc. and James D. Fox, (Respondents) Case Number: 99-04581 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Guardianship and Estate of Delores Bakun, hereinafter referred to as "Claimant": David M. Mandell, Esq., Blank Rome Comisky & McCauley LLP, Philadelphia, PA. Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul F. Argus, d/b/a Charles Street Capital, (Claimant) vs. Dain Rauscher, Inc. and Annette Theno, (Respondents) Case Number: 99-04580 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Paul F. Argus, d/b/a Charles Street Capital, hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Gary W. Smith, Esq., Burns & Levinson LLP,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04579 Wayne Kersh, claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, East Meadow, NY. For Respondent appeared in-house counsel Richelle S. Kennedy, Esq., Boston, MA. DATE FILED: October 11, 1999 CASE SUMMARY: Claimant alleged that he requested a transfer-in-kind 401k rollover, but respondent incorrectly filed for either a transfer-in-k

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ronald Allan Furst, Claimant vs. Hobbs Melville Securities Corp., Respondent Case Number: 00-05202 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Ronald Allan Furst, hereinafter referred to as "Claimant": Zevi Schizer, Esq., Schizer and Schizer, New York, NY. Respondent, Hobbs Melville Securities Corp., hereinafter referred to as "Respondent": Ja

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04578 Joseph LaGrasse, claimant vs. Ken Mandile and Salem Securities Corp., a/k/a ITradedirect.com, respondents. ATTORNEYS: Claimant, Joseph LaGrasse ("Claimant"), appeared Pro Se., Methuen, MA. For Respondent, Kenneth Mandile ("Respondent"), appeared Michael Utilla, Esq. Brooklyn, NY. Respondent, Salem Securities Corp. a/k/a ITradedirect.com did not respond to the Statement of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John C. Griffith (Claimant) vs. Cantor Fitzgerald Securities (Respondent) Case Number: 99-04574 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John C. Griffith, hereinafter referred to as "Claimant": Thomas S. Baylis, Esq., Cullen and Dykman, Garden City, NY. Respondent, Cantor Fitzgerald Securities, hereinafter referred to as "Respondent": Matthew G.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE: 99-04571 OLDE Discount Corporation, claimant vs. Gary N. Madsen, respondent. ATTORNEYS: Claimant appeared through its in-house counsel, Aaron L. Kleid, Esq., Detroit, MI. Respondent did not submit a response to the Statement of Claim. DATE FILED: October 8, 1999 CASE SUMMARY: Claimant alleged that Respondent was only entitled to receive monies for 32 shares of Cooper Companies, Inc. f

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-4570 Olde Discount Corporation, Claimant vs. Marjaneh Rouhani and Mersedeh Uhanna, Respondents. ATTORNEYS: Claimant, Olde Discount Corporation, ("Claimant"), appeared through its in-house counsel, Aaron L. Kleid, Detroit, MI. Respondent, Marjaneh Rouhani, ("Respondent"), did not respond to the Statement of Claim. Respondent, Mersedeh Uhanna, ("Respondent"), did not respond to the S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04569 Roy T. Williams, Trustee of the Roy T. Williams Living Trust, claimant vs. Gregory P. Roth, respondent. ATTORNEYS: Claimant appeared Pro Se through its Trustee, Roy T. Williams, Deland, FL. For Respondent appeared Delmer C. Gowing, III, P.A,, Delray Beach, FL. DATE FILED: October 8, 1999 CASE SUMMARY: Claimant alleged that he was contacted by the respondent regarding inve