N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant Aegis Capital Corp. 94-01593 Name of Respondent Ross A. Freitas REPRESENTATION For Claimant, Aegis Capital Corp. ("Aegis"): Michael J. Deutsch, Esq., Coconut Grove, Florida. For Respondent, Ross A. Freitas: Pro Se. CASE INFORMATION Statement of Claim filed: April 28, 1994. Claimant's Submission Agreement signe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Kurt Markstein vs. Name of Respondents M.S. Farrell & Company, Inc., Robert Decry Thomas Gallo NASD #94-01588 RF.PRFSENTATIQN Claimant represented himself. For Respondents: Mark J. Astarita, Esq., Gusrae, Kaplan & Bruno, New York, New York CASE INFORMATION Statement of Claim filed: May 10,1994 Clai

N.A.S.D. AWARD NATTONAT. ASSOCTATTON OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between of Claimant Richard Sansing NASD Arbitration No. 9441578 Name of Respondent Brokers Investment Corporation RFPRF r SFJ>JTATION For Claimant: Matthew Zevin, Esq., Law Office of Bruce R. Safran, Tarzana, California For Respondent: Norman Shubert, Brokers Investment Corporation, Canoga Park, California CASE INFORMATION State

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Same E. Martin, Claimant, y. NASD No. 94-01575 Robert Scott Securities, Inc. and Margaret Peggy Boland, Respondents. Representation For Claimant: Paul Young, Esq. of Securities Arbitration Group, Inc., Marina Del Rey, California For Respondent Robert Scott Securities (RSS): Nicholas Ellis of RSS, Irvine, California For Respondent Margaret P. Bol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In (ho Matter of (lie Arbitration Between Name of Claiimiu(s') Allen P. and Sandra L. Faivrc 94-01627 Name of Resnondeot(s) Olde Discount Corporation Manuel J. Leon Jack Avery REPRESENTATION For Claimants, Allen P. and Sandra L. Faivre ("Faivre"): Michael Huberman, Esq. of Greenbaum and Ferentz, Newport Beach, CA. For Respondents, Olde Discount Corporation ("Olde"), Manuel J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cfott Michael Tricoli 94-01625 Name of Respondents) Arthur Gejdbach CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1994, Claimant Michael Tricoli, who appeared Pro Se, alleged that Respondent Arthur Geldbach failed to recommend moderately conservative investments which were his stated i

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Ronald A. McDow d/b/a Ram Trading and 94-01621 Name of Respondent Thomas F. White & Co., Inc. U.S. Clearing Corp. REPRESENTATION OF PARTIES Ronald A. McDow d/b/a Ram Trading ("Claimant") was represented by Michael A. Meyers, Esq., Sidwell & Barrett, P.C., Franklin, Tennessee and Michael L. Dagley, Esq., Farris, Warfield &

ongnd N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) The Estate of Ali Gerami & Mahin Geramian 94-01614 Name of Resgondent(s) Bear Stearns & Company, Inc. Edward McClain "Clay" Bradley REPRESENTATION For Claimant: The Estate of Ali Gerami and Mahin Geramian: George Robertson, Jr.. Esq., Roswell, GA. For Respondent Bear Stearns and Co., Inc. ("Bear Stearns"): Terry

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03016 PHD Capital Corp., Claimant vs. Pablo Guerrero, Respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President of Streetwide Asset Recovery Group, Inc., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: June 7, 2001 CASE SUMMARY: Claimant alleged that respondent failed to reimburse claimant for training and registration costs in a

Case No. 94-01608 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. Name of Respondent John L. Bridges REPRESENTATION For Claimant, PaineWebber, Inc. ("PW") appeared Alice Jump, Esq. of Paine Webber, Inc. Respondent, John Bridges, ("Bridges"), appeared pro se. CASE INFORMATION Statement of Claim filed on: April 29, 1994 Claimant's Submission Agree