NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mohammed R. irannezhad Claimant(s) vs. 88-00718 The Stuart-James Co. vs. Eliahu Menashe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Mohammed R. Irannezhad alleged that Respondent(a) The Stuart-James Co. and Eliahu Menashe made unauthorized purchases. Respondent (s) The Stuart-James Co'.' maintains that the Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fidelity Brokerage Services, Inc. and National Financial Serivces Corp., Claimants ) ) Case #88-00706 vs. Simon I. Glassman, ) Award Respondent On April 17 and 18, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimants, Fidelity Brokerage Services, Inc. a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between EDWARD J. GIBNEY AND GLEN W. GIBNEY, Claimants, vs. RLR SECURITIES GROUP, INC., ALAN BESHANY, DINO BARONE and EDWARD A. VINER CO.. INC. n/k/a FAHNESTOCK & CO., INC. Respondents. Case 188-00703 Award Heard before the member of the Arbitration Panel: A. William Cohen, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on March 1. 1988.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George and Pauline Waters Claimants vs. AWARD #88-00693 Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael Ehrlich Oavid A. Gingras Respondents Case Summary Claimants George and Pauline Waters (hereinafter "Claimants") alleged that they suffered losses due to the reckless and negligent conduct of Respondents Merrill Lynch, Pierce, Fenner & Smith,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mario DeCarlo and Frances DeCarlo (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ronald M. Gellmann (Respondents) Case Number: 05-02784 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Mario DeCarlo ("M. DeCarlo") and Frances DeCarlo ("F. DeCarlo") hereinafter collectively refe

Award NASD In the Matter of the Arbitration Between: Dietrich Steiner, Claimant v. E*TRADE Securities, Inc., Respondent Case Number: 01-03217 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Dietrich Steiner, hereinafter referred to as "Claimant": Randall W. Henley, Esq. ("Henley"), Randall W. Henley P.A., West Palm Beach, Florida. On April 26, 2002, Henley withdrew as counsel. Claimant appeared pro se for the remainder of this arbitratio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01968 Joseph Palasek, individually and On behalf of his IRA Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Joseph Palasek, individually and on behalf of his IRA, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00112 Doyle Miller Clayton Parker Jerry Preuit Onnis Terry Don White Richard Dubbs Names of the Respondents Hearing Site: Birmingham, Alabama Avalon Investment & Securities Group, Inc. Allmerica Financial Life Insurance and Annuity Company William J. Bohannon Nature of the Dispute: Customer vs. Member and Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00069 Shelley C. Rountree, Individually and in her Capacity as Assignee of the Estate of Robert Barnes Rountree, Sr. Names of the Respondents Hearing Site: Atlanta, Georgia Robert Barnes Rountree, Jr. Sarah Rountree Long William D. Rountree Charles Schwab & Co., Inc. Cross Claim Respondents Robert Barnes Rountree, Jr. Sara

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06672 Georgia Capital Partners, Inc., dba Traders Advantage North American Clearing, Inc. Name of the Respondent Hearing Site: Orlando, Florida Dr. Kenneth J. Pujdak Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Georgia Capital Partners, Inc., dba Traders Advantage ("GCP") and North Americ