Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yousef Abu Khalaf and Samia Abu Khalaf, Claimants v. Tradeway Securities Group, Inc. Jamal Taha, George O. Woodrum, and Frank Guiltinan, Respondents Case Number: 99-04340 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants Yousef Abu Khalaf and Samia Abu Khalaf: Paul W. Thomas, Esq. Paul W. Thomas, Esq. & Associates Carlsbad, California

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Carol Horecky Case No. 99-04514 Names of Respondents Charles Ronnie Montou Ronnie Montou & Associates Charles Dow Digh, III Securities America, Inc. REPRESENTATION OF PARTIES * For Carol Horecky, hereinafter referred to as "Claimant": Randal L. Menard, Esq., Lafayette, LA. For Respondent Charles Ronnie Montou ("Montou") and Ronnie Mo

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Peter C. Restivo 96-02051 Name of Respondents Nationwide Securities Corp. Kevin Williams REPRESENTATION For Claimant Peter C. Restivo ("Claimant") appeared Ruthann G. Niosi, Esq., New York, New York. Respondents Nationwide Securities Corp. ("Nationwide") and Kevin Williams were represented by Jonathan A. Pace, of the firm Pace and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Danie! and Adele Karlin 96-01841 Name of Respondents J.W. Charles Securities Inc Corporate Securities Group, Inc. David Stern Jay Black CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1996, claimants Daniel and Adele Karlin ("claimant") through their representative,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Robert W. Davidson 96-01681 Name of Respondent Paul Sewcharran REPRESENTATION Claimant Robert W. Davidson ("Claimant") was represented by Gary C. Adler, Esq., O Connor & Hannan, Washington, D.C. Respondent Paul Sewcharran ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant John S. Burke v. Arbitration No. 96-01520 Name of Respondents Redwood Securities Group, Inc. Aditya B. Mukerji REPRESENTATION OF PARTIES John S. Burke ("Claimant") represented himself pro se. Redwood Securities Group and Aditya B. Mukerji ("Respondents") were represented by Peter R. Boutin, Esq., Keesal Young & Logan, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-01687 Name of Respondent Gerald L. Leal REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant") appeared Evan J. Charkes, in-house counsel for PaineWebber, Inc., located in New York City, New York. For Respondent Gerald L. Leal ("Respondent") did not appear at the hearing. CASE INFORMATION The St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 95-00562 Name of Respondent Gary S. Heller CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1995, Claimant Corporate Securities Group, Inc., through its representative and in-house counsel, Gregory Tendrich, Esq., Boca Raton, FL, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant MTI Business Schools of Sacramento, Inc. 93-04170 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim Tiled with the National Association of Securities Dealers, Inc. on October II, 1993, Claimant MTI Business Schools of Sacramento, Inc. who appeared through its representative, John Zimmermann (CEO) alle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl George J. Wallace Gary and Meg Wallace CONSOLIDATED CASES 9%0ia« and 92-02822 Name of Respondents) Yaeger Securities, Inc. Yaeger Capital Markets Norraa Yaeger Robert Neiditch John Barrett REPRESENTATION For Claimants: Robert M. Roth, Investors Arbitration Services, Inc., Woodland Hills, California Fo