Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Weisz, Joseph Weisz, Yolanda Weisz, and Alexander & Yolanda Weisz Family Trust, Claimants v. Continental Broker-Dealer Corp. and George Joseph Kurtis, Respondents Case Number: 01-00916 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondents: Liam O'Brien,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Charles H. Rawlings and 01-00361 Southfield, Michigan Morgan Stanley Dean Witter, Inc., and James Cooley REPRESENTATION OF PARTIES Charles H. Rawlings ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Dean Witter Reynolds, Inc. a/k/a Morgan Stanley Dean Witter, Inc. ("MSDW") and James Cooley ("Cooley"), hereinafter referred to a

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Francisco Pedros, (Claimant) vs. Gilford Securities Incorporated, Gabriel Carino, Howard Perkins, and Chris Pomarico, (Respondents) Case Number: 01-00196 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Francisco Pedros, hereinafter referred to as "Claimant": Carole R. Bernstein, Esq., Law Offices of Carole R. Bernstein, Westport, CT. Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Juanita H. Home, by and through Power of Attorney, Etta Jeanine Peek, Claimant v. Salomon Smith Barney, Inc. and William C. Home, Respondents Case Number: 00-04329 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Claimant: David A. Kimberley, Esq. Cusimano, Keener, Roberts, Kimberly & Miles, P.C. 153 South Ninth Street Gadsden, AL 35901 For Resp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sandra George, (Claimant) vs. Tarpon Scurry Investments, Inc. and Michael McFarquhar, (Respondents) Case Number: 01-00194 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sandra George, hereinafter referred to as "Claimant": Herbert W. Solomon, Esq., Meltzer, Lippe, Goldstein & Schlissel, P.C., Mineola, NY. Respondent, Tarpon Scurry Investments, Inc. ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregory Papadopoulos, (Claimant) vs. Black Diamond Trading LLC, Pax Clearing Corporation, and John Doran, (Respondents) Case Number: 00-04275 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gregory Papadopoulos, hereinafter referred to as "Claimant", appeared pro se. Respondent, Black Diamond Trading LLC ("Black Diamond"), did not make an appearance in

N.A.S.D. AWARD NATIONAL ASSQCIATTQN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beatrice Irene Hansen NASD Arbitration No. 91-01359 Name of Respondents Capital Growth Resources R. N. (Hap) Dolbeck For Claimant: James C. Krause, Esq. - Reniche & Krause - San Diego, Ca. For Respondent: Capital Growth Resources - William B. Treitler, Esq., Treitler & Montisano, San Diego, Ca. For Respondent: R. N. (Ha

N.A.S.D. AWARD ASSOdATKM OF SECURITIES DEALERS In the Matter of the Arbitration Between of dainantts^ 91-01342 Bar Miller, Huh, i Whiter i Button, I33C,, fc Cttrlaoa C. Sand, Esq. of Statement of filedi April 29, 1591 Richard Frederick Church cat Ally 16, 1591 Statannt of June 17, 1591 filed by 10, 1591 JUly 29, 1991 Jtaoe 17, 1591 Cb, Inc.'s 5, 1591 , Xlddsr, Foabody & Oo, and Butt

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SJsJOJKlTIhtl DEALERS In the Matter of the Arbitration Between Efran Haxkham v 31-01283 Dean Witter Reynolds, Inc. For Claimant: William F. Davis, Esq. For Respondent: Robert T. Sullwold, Esq. of Orrick Harrington & Sutcliffe Statement of nattn filed: April 23, 1591 Claimant's Submission Agreement signed on: april 10, 1991 Statement of Answer filed by Respondent on: June 6, 1991 Respondent's Submission

U.X.0.&. NKTXCKRL ASSCOMCXQH Cf SBCQRXTXES EBffJBS \ m the Jtottar OC tba AtfaitciHcn BatMttn MLloMcoy, 91-01260 «spll£i«d WittarJKiynoW*, JOB, Stutart iT» Kte CL&iaMtvt "naaaas w. DaadbuBr Baq[. of Tituft, Broactaer a ".r^r^tsiisla, Aiinm. For KeqpcnOict»t Mtedy &. ftiilMfji, Mq. of Sflta Miter Reynolds, Boa., Sam Statanaat of d-dni fll«l« *pell 23 r 1391. Amodad St»t«t Of < ^>^ filadt OctctoerT, 1SS1. «iaaad 001 Mum 26,