Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michele Roselle Names of the Respondents Oppenheimer & Co. as Successor to Fahnestock & Co. Thomas P. DeLauro Case Number: 04-00975 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michele Roselle, hereinafter referred to as "Claimant": Robert S. Moraf

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between First Potomac Securities Corp. AWARD Claimant #88-02252 vs. Matthew & Donna L. O'Brien Respondents Case Summary Claimant seeks a debit balance from Respondents who placed unsolicited orders in a margin account. Respondents counterclaim that Claimant conducted unauthorized trading in accounts which were never opened by them. Respondents also contend that since

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. If? the Matter of Arbitration Between Patricia L. Schmidt Claimant vs. Shearson Lehman Hutton and Gilbert Francis Hartman Respondents Case #88-02250 AWARD CASE SUMMARY Claimant, Patricia L. Schmidt, alleged that Respondent registered representative, Gilbert Francis Hartman, fraudulently misrepresented to her the risks involved in the trading of options, puts and calls, and that such

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald T. and Carolyn Steinberg Claimant vs. Philips, Appel & Walden, William FranJcel & Co., and Broadcort Capital Corp. Respondents OATH AND AWARD OF ARBITRATOR 88-02248 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sidney Sude ) Claimant ) ) Case #88-02240 vs. ) Award ) PaineWebber, Inc. ) Dean Liuzzi ) Respondents ) ) CASE SUMMARY The issues brought by the Claimant, Sidney Sude, wrt< fcdid Respondents, PaineHebber, Inc. and Dean Liuzzi commit unauthorized transactions, refuse to follow customer direction and churn the account of Sidney Sude. Th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mitchell R. Mass, P.C. Defined Benefit Plan et al vs. Claimants Advest, Inc. Robert Schlesinger Respondents AWARD #88-02234 Case Summary Claimants, Mitchell R. Mass, P.C., Defined Benefit Pension Plan and Alice Mass, claims against Respondents Advest, Inc. and Robert Schlesinger arise from losses in Claimants' account which Respondents maintained

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. — -»-•—»^- — • — — •— — * — ^ — — •••• — — — — » — •• — -• — ™ — •*••«. — — — ,«^,.,« — — — *.»•• — *r — — •• — •« — — — — — • In the Matter of the Arbitration Between Kianoosh F. Bullock, Claimant. vs. Case 188-02229 Award Charles Schwab & Co., Inc., Respondent. On May 9. 1989. the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitrat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DR. SIDNEY J. PECK, ) Claimant. ) ) Case /88-02228 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER & SMITH. INC., ) Respondent. ) ) Heard before the members of the Arbitration Panel: John B. Kelley, Esq. Mr. Harry Polansky Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on July 13, 1988. The hearing

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Shirley Foster Elliott Foster vs. PaineHebber, Inc. Claimants Respondent CASE #88-02227 AWARD CASE SUMMARY In a claim filed at the NASD on July 18, 1988, Claimants Shirley and Elliott Foster alleged that Mrs. Foster purchased 1000 shares of Shorewood during its initial public offering and that Mrs. Foster has never sold these shares. Claiman

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mitchell G. Case, (Claimant) vs. Suretrade, Inc. (Respondent). Case Number: 99-04005 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Mitchell G. Case, ("Claimant"): Tracy Pride Stoneman, Esq.: Attorney at Law, Colorado Springs, CO. Respondent, Suretrade, Inc. ("Respondent): Alexander T. Sarafoglu, Esq. and Bennett Falk, Esq.: Morgan, Lewis & Bockius, Miami, FL.