Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Alan S. Fellheimer & Judith Fellheimer Case No. 99-00327 Name of Respondents Bear Stearns & Co., Inc. Michael C. Nolan Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants, Alan S. and Judith Fellheimer ("Claimants") were represented by Stuart J. Guber, Esq. of the law firm of Berger & Montague, P.C., Philadelphia, PA. Res

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Larry and Penny Seick, Claimants v. Financial Goal Securities, Inc., Kocen Financial Group, Inc., Gail G, Kocen, Bryan S. Kocen, Jo Ann Kocen, and Joel Kocen, Respondents. Case Number: 99-00318 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondents Financial Goal Securities, Inc., Gail G. Kocen, Bryan S. Kocen, Jo Ann Kocen, and Joel

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Shane Kinahan, (Respondent) Case Number: 99-00306 Hearing'Site: New York, NY REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Kenilworth NJ. Respondent, Shane Kinahan, hereinafter referred to as "Respondent" appeared pro se. CASE INFORMATION Statement

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00302 Neil Blackstone, claimant vs. Jeff Atamanuk and Whale Securities Co., respondents. ATTORNEYS: Claimant Neil Blackstone ("Claimant") appeared Pro Se., DeKalb, Illinois. For Respondent Whale Securities Co. ("Whale Securities"), David S. Richan, Esq., Tenzer Greenblatt, LLP, New York, New York. Respondent Jeff Atamanuk ("Atamanuk") did not respond to the St

AWARD NASD Regulation, Inc. CASE: 99-00298 Joyce E. Stites, claimant vs. Mason Hill & Co., Inc, respondent. ATTORNEYS: Claimant appeared Pro Se. - Westport, CT. Respondent appeared through its President/CEO, James Staff - New York, NY. DATE FILED: January 22, 1999 CASE SUMMARY: Claimant alleged gross negligence; unsuitability; misrepresentation; failure to disclose risks; excessive mark ups and commissions; manipulative, deceptive and fraudulent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey E. Brandlin and Karen B. Brandlin, Claimants v. Bear Stearns & Co., Inc., Craig Laucks and James Lawrence ("Larry") Mills, Respondents Case Number: 00-03279 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Stephen Young, Esq. Todd Adkins, Esq.

AWARD NASD Regulation, Inc. CASE: 99-00297 Nat Palaniappan, claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS; Claimant appeared Pro Se - Scottsdale, AZ. For Respondent appeared Richelle S. Kennedy, Esq., of the firm, Bingham Dana, LLP, Boston, MA. DATE FILED: January 22, 1999 CASE SUMMARY: Claimant alleged respondent improperly executed a purchase order for shares of JASMINE stock. ARBITRATOR'S REPORT: There is no eviden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jayendra D. Patel, MD, Minakshi J. Patel, MD, Patel, MD, P.A. Employees MMPP and Patel & Patel, MD, Profit Sharing Plan (Claimants) v. Everen Securities, Inc., (a.k.a.Kemper Securities), Morgan Stanley Dean Witter Reynolds, Inc., and Har Gouri Pathak (Respondents) Case Number: 99-00292 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Jayendra D. Patel,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph Shleifstein, (Claimant) vs. Quick & Reilly, Inc., (Respondent) Case Number: 99-00285 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Joseph Shleifstein ("Claimant") appeared pro se. Respondent Quick & Reilly, Inc., hereinafter referred to as ("Respondent"): Douglas S. Flaherty, Esq., Assistant Vice President, Quick & Reilly, New York, New York. CASE INFO

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael J. Monaghan and Joan P. Monaghan, (Claimants) vs. Gilford Securities, Inc., David Abraham Schuster, Joseph Stevens & Co., Inc., and Robert Paul Petrozzo, (Respondents) Case Number: 99-00283 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Michael J. Monaghan ("M. Monaghan") and Joan P. Monaghan ( M J. Monaghan"), hereinafter collectively re