NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen Schilson, and B. Eugene Schneider, Claimants/Counterrespondents, v. No. 93-03104 Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent/Counterclaimant. REPRESENTATJtpN Of PARTIES Stephen Schilson ("Schilson") and B. Eugene Schneider ("Schneider") (collectively referred to as "Claimants") were represented by H. Todd Iveson, Esq., of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS , •- In the Matter of the Arbitration Between Name of Claimant Offset, Inc. Profit Sharing Plan 93-03102 Name of Respondents Gallon & Associates, Inc. Brian William Mohan Southwest Securities, Inc. For Claimant, Offset, Inc. Profit Sharing Plan (Offset): Layne Verebay, Esq. of Freedman & Verebay, P. A., Miami, FL. For Respondent, Calton & Associates, Inc. ("Calton") and Br

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02653 Stanley George, claimant vs. Continental Broker-Dealer Corp. and Greg Lewis, respondents. ATTORNEYS: Claimant appeared pro se, Rapid City, SD. For Respondents appeared Dominick Bianco, Chief Compliance Officer of Continental-Broker Dealer Corp., Carle Place, NY. DATE FILED: May 21, 2001 CASE SUMMARY: Claimant alleged respondents purchased securities without his authorization

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leonard D. & Helen Kraus TTEES/FBO Kraus 93-02888 Name of Respondent Wedbush Morgan Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimants Leonard D. and Helen Kraus, who appeared Pro Se, alleged that Respondent Wedbush Morgan Securities failed to disclose

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Robert B. and Leitha C. Shearer 93-02996 Name of Respondents) Merrill Lynch, Pierce, Fenner & Smith Inc Morris R. Copeland G. Thomas Stokes The Claimants appeared pro se. For Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc., Morris R. Copeland and G. Thomas Stokes: Gregory J. Giomelli, Esq. of the law firm of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bob Kirchoff 93-02994 Name of Respondent Adam Scott Kriftcher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 2, 1993, Claimant Robert G. Kirchoff, who appeared Pro Se, alleged that Respondent Adam Scott Kriftcher purchased for his account a 1000 share block of Lotus Development

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Stephen F. Bowman and Melinda S. Bowman, NASD Arbitration No. 93-02984 Name pf Respondents Prudential Securities, Inc. and O!*nn C. Hewitt REPRESENT ATION For Claimants: David Liebrader, Esq., Investors Arbitration Services, Woodland Hills, California. For Respondents: Joel Levinson, Esq., Prudential Securiti

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant First of Michigan Corporation and NASD Case Number: 95-02979 Name of Respondent Timoleon L. Nicholaou REPRESENTATION OF PARTIES Claimant First of Michigan Corporation was represented by Michael P. Coakley, Esq. of Miller, Canfield, Paddock & Stone located in Detroit, Michigan. Respondent Timoleon L. Nicholaou was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William A. and Carol Cowl 93-02972 Name of Respondent Mcginn, Smith & Co.,Inc. REPRESENTATION For Claimant: Timothy J. O'Connor of Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander located in Albany, New York. For Respondent: Michael J. Smith of Roemer and Featherstonhaugh, F.C. CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Name of Claimant Glenn L. King 93-02964 Name of Respondents Southwest Securities, Inc.; Knibbe Financial Group, Inc.; Charles Knibbe; Stanley Mclnryrc. REPRESENTATION For Claimant: Glenn L. King ("King") was represented by William S. Shepherd, Esq. of Houston, Texas. For Respondents: Southwest Securities, Inc. ("Southwest") was rep