N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) George M.B. Reading Dorothy T. Reading NASD Arbitration NO. 93-03465 Name of Respondent(s) Dean Witter Reynolds Inc. J. Donald Toms Lloyd Kelly REPRHSHNTATIQN For Claimants: Philip W. Coats, Esq., Law Office of Patrick R. Frega, San Diego, California For Respondents: James P. Delphey, Esq., Seltzer Capl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Delmo Ferrari, et al. vs. Name of Respondents Prudential Securities Inc Ian Lee Finberg Ray Juskewiecz Case No. 93-03463 REPRESENTATION For Claimants, Delmo and Alba Ferrari of Del's Hair Styling and Cutting Salon, Joel P. Suttenburg, Esq. and David Grossack, Esq. located in Boston, Massachusetts. For Respondents, Prudential Securit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kimberiy Knight 93-03462 Name of Respondent Prudential-Bache Securities Inc. REPRESENTATION For Claimant, Kimberiy Knight ("Knight"): Stanley Padgett, Esq. of Tampa, Florida. For Respondent, Prudential-Bache Securities Inc. ("Prudential"): Delmer C. Gowing, TO., Esq. of Hertz, Schram & Saretsky, P.C., West Palm Beach, Florida.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02678 Randall Reemes, Claimant vs. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: Claimant appeared pro se., Monticello, AR. Respondent appeared through its in-house counsel, Richard A. Karoly, Esq., San Francisco, CA. DATE FILED: May 22, 2001 CASE SUMMARY: Claimant alleged Respondent made unsuitable and unauthorized trades in his account, which resulted in his loss. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James M. Morris 93-03461 Name of Respgndent/Third Party Claimant F.N. Wolf & Co., Inc. Name of Third Party Respondent John McGuirc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10, 1993, Claimant James M. Morris, who appeared Pro Se, alleged that he purchased 1000

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Gerald M. Isbell and 93-03459 Name of Respondents Shearson Lehman Brothers, Inc. David B. Smith Ron Card REPRESENTATION OF PARTIES Gerald M. Isbell ("Claimant") was represented by John P. Cione, Esq., Solona Beach, California. Shearson Lehman Brothers, Inc., David B. Smith and Ron Gard ("Respondents") were represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John and Mary G. Leslie 93-03451 Name of Respondents Investment Management & Research, Inc. Michael Ritschel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1993, Claimants John and Mary G. Leslie, who appeared Pro Se, alleged that Respondents Investment Management &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia A. Farese 93-03446 Name of Respondents PaineWebber. Inc. Thomas Patrick Hayden Mark Tyler Hyde CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 2, 1993, Claimant Patricia A. Farese, who appeared Pro Se, alleged that prior to February 1, 1993 she received sever

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N,ame gf Claimants William & Dorothy Lucke 93-03444 Name of Respondents D.H. Blair & Company Mark Guidice REPRESENTATION For Claimant William and Dorothy Lucke ("Claimants"): Russell L. Forkey, Attorney at Law, Deerfield Beach, Florida. For Respondent D.H. Blair & Company ("D.H. Blair"): Justin Y.K. Chu, Esq. of the law firm of Pollack

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kali K. Ghosal, MD NASD No. 93-03441 Name of Respondents Prudential Securities Inc Rabindra Nath Bhattacharya REPRESENTATION For Claimant: Kali K. Ghosal ("Claimants") Hemendra Bhattacharya located in Briarwood, New York. For Respondents: Prudential Securities, Inc. and Robin Battacharia ("Respondents") Donna Daniel