Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James Smith Case No. 99-00476 Names of Respondents GKN Securities Corp. Robert Daniel Mclntyre REPRESENTATION OF PARTIES For Claimant James Smith, hereinafter referred to as "Claimant": Samuel T. Brannan, Esq. of the law firm of Wilson, Strickland & Benson, P.C., Atlanta, Georgia. For Respondents GKN Securities Corp. ("GKN") and Robert Daniel Mclntyre (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert T. Murtagh Case No. 99-00474 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Robert T. Murtagh ("Murtagh"), hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Delray Beach, Florida. For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), hereinafter referred to as "R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fu Luan, Claimant v. Bluestone Securities, Inc., Hong Yi Sun, Changyan Zhao, Mark Cheng- Pin Lee, Marshall Chen, Amerivet Securities, Inc., Elton Johnson, Jr., David Clinton Wade, and David Hughes Giauque, Respondents. Case Number: 99-00473 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael E. Friedman, Esq. Law Offices of Michael E. Friedman

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kathleen Yacoe-Hughes, (Claimant) vs. Janney Montgomery Scott, Inc., (Respondent) Case Number: 99-00472 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Kathleen Yacoe-Hughes, hereinafter referred to as "Claimant", appeared pro se. Respondent, Janney Montgomery Scott, Inc., hereinafter referred to as "Respondent": Paula D. Shaffer, Esq., Saul, Ewing, Remick & Saul LLP, P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03312 Michael J. Falise, Claimant vs. Leigh Baldwin & Company LLC, Respondent. ATTORNEYS: Claimant appeared Pro Se, Oswego, NY. Respondent appeared through its Compliance Officer, Sharon R. Halligan, Cazenovia, NY. DATE FILED: August 3, 2000 CASE SUMMARY: Claimant alleged that Respondent sold 10 shares of Perm Traffic Co. stock without authorization and without prior notification.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00469 James Gallo, claimant vs. State Street Capital Markets Corp., and Anthony Puccio, respondents. ATTORNEYS: Claimant appeared Pro Se., Brooklyn, New York. Respondent Anthony R. Puccio ("Puccio") appeared Pro Se., New York, New York. Respondent State Street Capital Markets Corp ("State Street") did not respond to the Statement of Claim. DATE FILED: 02/0

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mark Orehowsky Case No. 99-00468 Name of Respondent Waterhouse Securities, Inc. REPRESENTATION OF PARTIES Claimant Mark Orehowsky ("Claimant"): Albert Schiessinger, Esq., Philadelphia, Pennsylvania. Respondent Waterhouse Securities, Inc. ("Respondent"): Margaret Manolakis, Esq., Stradley Ronon Stevens & Young, LLP, Philadelphia, Pennsylvania. CASE INFOR

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph C. Loiacono, Jr. and Marie Grace Loiacono, (Claimants) vs. Olde Discount Corporation, Greg Hall, and Peter Carmasino, (Respondents) Case Number: 99-00461 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Joseph C. Loiacono, Jr. ("J. Loiacono") and Marie Grace Loiacono ("M. Loiacono"), hereinafter collectively referred to as "Claimants": George V. Cornell, II

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alex Ali, Claimant v. Patrick James Wilde, n, Todd Bauman. Bradford Barker, Aragon Financial Services, Inc., Respondents Aragon Financial Services, Inc., Cross-Claimant v. Patrick James Wilde, n and Todd Charles Bauman, Cross-Respondents Aragon Financial Services, Inc., Third-Party Claimant v. RFCA Financial Services, Inc. iind Robert Tretiak, Third-Party Respondents Case

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Donna V. Gross, (Claimant) vs. Griffin Financial Services n/k/a Washington Mutual Financial Services, (Respondent). Case Number: 99-000456 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Donna Gross ("Gross"), hereinafter referred to as "Claimant": Margaret A. Poissant, Esq., Margaret A. Poissant, P.C., Houston, Texas and Jennifer Melby, Esq., Houston, Texas.