NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John and Rita Musial Claimant(s) vs. Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02034 CASE SUMMARY Claimant(s) John and Rita Musial alleged that Respondent(s) Edward D. Jones & Co. failed to execute a trade. Respondent(s) maintain that was aware that a sell/stop order was not available on NASDAQ stock. RELIEF REQUESTED

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Val Mathews, custodian for Brent Mathews Claimant(s) vs. 89-02031 Elliott Bellen and William Calabretta Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Val Mathews, custodian for Brent Mathews alleged that Respondent(s) Elliott Bellen and William Calabretta knowingly defrauded the Claimant by lying about the value of som

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Jeff Prupia Claimant(s) vs. 89-02023 Abe Santos Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeff Prupis alleged that Respondent(s) Abe Santos did not pay off debit balance in the account held with Claimant. Respondent(s) did not answer Claimant's allegations. RELIEF REQUESTED Claimant(s) Jeff Prupis requested damages of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter F. Potenza Claimant(s) vs. Lord & Sterling Inc., Michelle Santilli and Dennis Williams Respondent(s) NOTICE OF ARBITRATION AWARD 89-02020 CASE SUMMARY Claimant(s) Peter F. Potenza alleged that Respondent(s) Lord's Sterling Inc., Michelle Santilli and Dennis Williams misrepresented the return to be received on an investment and failed to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rachel Gabbai Claimants) vs. Rose & Co. Respondent(a) NOTICE OF ARBITRATION AWARD 89-02010 CASE SUMMARY Claimant(a) Rachel Gabbai alleged that Respondent(s) Rose & Co. made an improper execution of the trade. Respondent maintains that Claimant is fully responsible for the loss of the transaction. RELIEF REQUESTED Claimant(s) Rachel Gabbai requ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Richard E. Schmid 89-02008 o R S p T t t s \ Merrill Lynch, Pierce Fenner & Snath Inc Heard before the matters of the Arbitration Panel: John B. Kelley, Eaq. Andrew Bartf ay Patricia A. Shub, Esq. CASE SUMMARY This claim was filed with the NASD, Ire. on July 14, 1989. The hearing was conducted

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Gay Klein Claimant vs. Case #89-02006 AWARD Dean Witter Reynolds, Inc. Respondent CASE SUtURY Claimant Gay Klein alleged that Respondent Dean Witter Reynolds, Inc.," acting through its employee Alan Rose, induced the Claimant to invest in a limited partnership, specifically Commonwealth Mortgage of America, L.P., by misstating that it was a "ver

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Robert and Cynthia Bielling Case No. 99-02726 Names of Respondents The Golden, Lender Financial Group, Inc. Tomer M. Yuzary losif Pak Roman Sakharovich Lee M. Solomon, Jr. Konstantin Tokar Jean O. Brutus REPRESENTATION OF PARTIES For Robert and Cynthia Bielling ("Claimants"): Kenneth P. Hazouri, Esq. of Drage, de Beaubien, Knig

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fred C. Follmer and Sharon R. Follmer Claimants vs. Sherwood Capital, Inc. Mark A. Sottile Respondents AWARD #89-02004 CASE SUMMARY Claimants alleged that Respondents misrepresented the value of common stock purchased by the Claimants and failed to act in a prudent manner in not presenting losses incurred by the Claimants when the price of the c

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony and Catherine DiDonato Claimant(s) vs. 89-01998 Profile Investments Corp. Respondent (s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony and Catherine DiDonato alleged that Respondent(s) Profile Investments Corp. failed to complete the sale of Claimants' stock. Respondent did not respond. RELIEF REQUESTED Claimant(