N.A.S.D. AWARD Arbitration 'Suteliro,S^ NATIONAL ASSOCIATION OF SECURITIES DEALERS NcalBlxto Asri^ Director of ArtHH*)n~;—rr— : p~T—r~r-—-; ^~ In the Matter of the Arbitration Between PameUM.BttfdJck,bq. Senior Suff Attoreey l^ame of Claimants Leonard J. Levick, Beneficiary of the Leonard J. Levick IRA and Leonard J. Levick and Myra F. Levick Individually, and as Joint Tenants, with Right of Survivorship Case No. 93-02916 Nam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ctaimant Dr. Carl Pagano, TTEE/PSRP NASD Case No. vs. 93-03101 Name of Respondents Melbourne GSI Corp. Joel Heusler REPRESENTATION For Claimant, Dr. Carl Pagano, TTEE ("Claimant"), George Marlin, non- attorney representative. For Respondent, Melbourne GSI Corp. ("Melbourne"), George Glair from Melbourne GSI Corp. located in

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Lawrence R. Endres 93-03093 Name of Respondent^ Scottsdale Securities, Inc. For Claimant Lawrence R. Endres: J. Pat Sadler, Esq. of the law firm of Sadler & Associates of Roswell, GA. For Respondent Scottsdale Securities, Inc.: John G. Garavaglia, Esq. of the law firm of Raskas, Ruthmeyer, Pomerantz, Wynne, Garavaglia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hildegard Rother 93-03092 Name of Respondents Benjamin & Jeroid Brokerage CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1993, Claimant Hildegard Rother, who appeared Pro Se, alleged that she traded options with Respondent Benjamin & Jeroid Brokerage based on the advice

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William Chanoff 93-03091 Name of Respondents Butcher & Singer, Inc. (n/k/a Wheat First Securities, Inc.) Stuart M. Hammerle RJ^EjgENTATION I For Claimant William Chanoff ("Claimant"): Herbert M. Unsenberg and Anthony J. Boris, Attorneys at Law, Philadelphia, PA. For Respondents Butcher & Singer, Inc. ("Butcher") and Stuart M. Hammerle ("Ham

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Case Niimhftr 01-02632 Stanley Potruzski of the Respondents Hearing Site- Baltimore, MD Deutsche Bank Alex. Brown, Inc. David P. Brown Steven J. Sarigianis REPRESENTATION OF PARTIES Claimant, Stanley Potruzski, hereinafter referred to as "Claimant", was represented by Nicholas J. Guiliano, Esq., Philadelphia, Pennsylvania, Respondents,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William G. Rowan HI, Claimant vs. Salomon Smith Barney, Inc., Ted Jung and Jerrold L. Eberhardt, Respondents. Case Number: 00-00865 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimant: William G. Rowan III Honolulu, Hawaii For Respondents: Shannon Hobbs Salomon Smith Barney, Inc. San Francisco, California CASE INFORMATION Statement of Clai

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Angelo Pugliares, (Claimant)-vs. Ameritrade, Inc., (Respondent) Case Number: 00-00090 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Angelo Pugliares, hereinafter referred to as "Claimant", appeared pro se. Respondent, Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Regulatory Manager, Ameritrade, Inc., Bellevue, NE. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louis T. Mattioli 93-03086 Name of Respondents Prudential Securities, Inc. John W. Whelan Stewart W. Damon, n CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 5, 1993, the Claimant Louis T. Mattioii, who appeared pro se, alleged that Respondent Prudential Securities Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joyce and Oren Cohen vs. 93-03079 Name of Respondents Olde Discount Corporation Timothy O'Brien REPRESENTATION For Claimants Joyce and Oren Cohen appeared Joan M. Markey, Esq., New York City, NY. For Respondents Olde Discount Corporation and Timothy O' Brien (hereinafter collectively referred to as "Respondents") appea