Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Inc., Claimant vs. Richard T. McDougall, Respondent. Case Number: 99-00497 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch' 7 ), hereinafter referred to as "Claimant": Mark P. Harbison, Esq., Rubin & Associates, P.C., Paoli, Pennsylvania Respondent, Rich

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John Coleman, (Claimant) vs. Patrick Steven Mirabelli, (Respondent). Case Number: 99-00494 Hearing Site: San Francisco, California. REPRESENTATTON OF PARTIES John Coleman hereinafter referred to as "Claimant": Represented himself. Steven Patrick Mirabelli hereinafter referred to as "Respondent": Represented himself. CASE INFORMATION Statement of Claim filed on or about: February 2

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Grothaus; Cynthia Grothaus; R.J. Grothaus & Family Inc.; and Robert Grothaus and Cynthia Grothaus JTWRS Claimants vs. Trautman, Kramer & Company, Inc., Mark Joseph Gillis, Robert Joseph Kramer, Gregory Owen Trautman, Robert Ware Middleton, and Mark Barbera Case Number: 99-00490 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Robert Grothaus, Cynthia Grot

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Quick & Reiily, (Claimant) vs. Michael Sanders, (Respondent) Case Number: 00-03313 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Quick & Reiily, hereinafter referred to as "Claimant": Joel E. Davidson, Esq., Law Office of Joel E. Davidson, New York, NY. Respondent Michael Sanders, hereinafter referred to as "Respondent", did not enter an appearance in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael John Lawroski Case No. 99-00489 Name of Respondent NationsBanc Montgomery Securities, LLC REPRESENTATION OF PARTIES For Michael John Lawroski, hereinafter referred to as "Claimant": Ira Lee Sorkin, Esq. of the law offices of Squadron, Ellenoff, Plesent & Sheinfeld, LLP, New York, New York. For NationsBanc Montgomery Securities, LLC, hereinaf

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00483 Rosejane O'Reilly, claimant vs. PNC Brokerage Corp., respondent. ATTORNEYS: Claimant appeared Pro Se. 7 Elmhurst, NY. For Respondent PNC Brokerage Corp., appeared Thomas K. Lammert, Jr., Esq., Pittsburgh, PA. DATE FILED: February 2, 1999 CASE SUMMARY: Claimant alleged that respondent prevented her from initiating stock trades in her accou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Phyllis K. Steinberg, as Executrix of the Estate of Esther Krivin, (Claimant) vs. Gary Goldberg and Gary Goldberg & Company, Inc., (Respondents) Case Number: 99-00482 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Phyllis K. Steinberg, as Executrix of the Estate of Esther Krivin, hereinafter collectively referred to as "Claimant": Abram Steinberg, Esq., Steinbe

N.A.5.D, REGULATION AWARD or ^ 1 " -^* ftgn AT CASE: 99-00491 Indet Pwkish rod Anindhfti PerUfch. cUinuals vs. Investors Associates. Tnc , Vincent GTWWJ. and Doug Mangan. respondents. ATTORNEYS: Claimants Under Perkash and Awndhati Pcrtaih appealed fro So.. Stanford. invftton AwwUto, Inc.. Tortn Grcencpan rCtcenspan"). Vncent Greico, awl Oou| M»ng»n (effectively. 'RespOMferts"). 4kl t^t respond to the Statement of Claim. DATE HLE

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Lee A. Wolpov as Beneficiary of Fahnestock & Company Incorporated, Custodian for Harold Wolpov under IRA Account Number A87-7701274-T55 Case No. 99-00480 Name of Respondent Fahnestock & Company, Incorporated REPRESENTATION OF PARTIES For Claimant Lee A. Wolpov as Beneficiary of Fahnestock & Company Incorporated, Custodian for Harold Wolpov under IRA

In the Matter of the Arbitration Between Name of Claimant Jeffrey W. Rauff vs. Name of Respondents Josephthal & Co., Inc. Robert Tractenberg NASD REGULATION, INC. STIPULATED AWARD NASD # 99-00478 REPRESENTATION OF PARTIES Jeffrey W. Rauff ("Claimant") was represented by Lewis H. Rosenbaum. Esq. of the Law Offices of Lewis H, Rosenbaum New York, New York. Josephthal & Co., Inc., ("Respondent Josephthal") and ("Respondent Tractenbe