PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE t92-00229 AWARD In the Matter of the Arbitration Between Peter Hsia & Sheau-Yin Hsia, JTWROS Claimants vs. Stratton Oakmont, Inc. Christopher Pinkie Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Peter Hsia & Sheau-Yin Hsia> who appeared Pro Se, alleged that Respondents Stratton Oatanont, Inc.

NJUS.D. AHKRD HKTBUab ASSOCXATICN OP In the Itotter of the Arbitration of 92-00228 r>j •< ••«»*•, ficbert J. Scaxaxo, appeared gggje. Far Peepmrtenf Alan Bixfcleyt Jane J. Maylan, Eaq. of AMociatM, US)., Chicago, TTHnrvta. J. Moyln and Sta of Claim filed: January 21, 1992. of Answer tiled by Respondent, Alan Bizkley cnt ttxch 9, 1992. NASD doee not have any evidence of P^T^*"*- Alan Bizkley having filed a 1*4 Mav4 4WI 4*A aYvfo4 4*W^4

N.A.S.D. AHAHD NATICNMi ASSOCXRTICN OP SBCUkiTUBS DEALERS In the Matter of the Arbitratioa Between Maltzer Family Trust 92-00227 Kane of RffisncnrVnt(s) Quick and Reilly, IDC. nnrmld Priaosch William Lanaburg CLadnent: tne Maltzer fteily Trust *mm r%ji'«a^tLal by Nfcthan Maltxer. Pbr RMpcndaata: Quick and Itoilly, Inc., Dcoald Prtnoocb and WUliaa landauxg VMM rqn:M«ntod by Jna^ah Ooicso of Quick and Railly, Doc., York, New York. Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Johnston Lemon & Co. Award #92-00218 vs. Names of Respondents William Smith and Paula Michaels Names of Thjrd Party Respondents Robert Boorman James H. Lemon, Jr. Patrick Ryan Donald E. Clem Morgan Stanley & Co., Inc. Louis Ricciardelli T«rry Nolan REPRESENTATION For Claimant Johnson, Le

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03049 Stanley Sechrist, claimant vs. Suretrade, Inc., respondent. ATTORNEYS: Claimant Stanley Sechrist ("Claimant"), appeared Pro Se., Lewisberry, PA. For Respondent Suretrade Inc. ("Respondent"), Yolande D, Black, Assistant Director of Compliance for Suretrade, New York, NY. DATE FILED: 7/6/1999 CASE SUMMARY: Claimant alleged that due to Respondent's erro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In me Matter or the Arbitration Between .\ T ame of Claimants Paul & Lois Fransceila .Trustees 92-00215 Name of Respondents Prudential Secunties Inc Drew Sikorski REPRESENTATION For Claimants: Phillip M. Marshall. Esq. of Kinney. Buch. Mattrey & Marshall. For Respondent. Prudential Securities. Inc.: Paul K. Stecker. Esq. of Phillips. Lytle. Hitchcock. Btaine & Huber. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant(s) Henry & Linda Davidson 92-00211 Name of Resrjondent(s) Silver. Gray & Co.. Inc. Fredric Gray Gerry Gray Robert Kahan Richard Gray REPRESENTATION For Claimants Henry and Linda Davidson: Douglas Capuder. Esq. of the law firm of Capuder & Associates. P.C. For Respondents Silver. Gray & Co., Inc.. Fred

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03120 Ashok K. Sabhlok, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Frankie Laine Ross and James Joseph Dyer, (Respondents) ATTORNEYS: Claimant appeared pro se, Berkeley, CA. For Respondents appeared in-house counsel H. Kyeng Lee, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: June 26, 2006 CASE SUMMARY: Claimant alleged t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Schneider (Claimant) vs. Fidelity Brokerage Services, Inc. (Respondent) Case Number; 05-05200 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Susan Schneider hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Shea & Diamond LLP, Holliston, MA. Respondent Fidelity Brokerage Services, Inc, hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice E. Campbell Estate (Claimant) vs. B.C. Parker & Co., Inc. and John J. Winkelman (Respondents) Case Number: 05-05163 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alice E. Campbell Estate, hereinafter referred to as "Claimant": Robert A. Dean, Esq., The Dean Law Firm P.C., Grand Island, N