N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Irene K. Palen 92-04340 Name of Respondent Fahnestock & Co., Inc. Lewis Klee REPRESENTATION For Claimant Irene K. Palen ("Claimant") appeared James Dolan, Esq., a sole practitioner located in Garden City, New York. For Respondent Fahnestock & Co., Inc. ("Fahnestock") appeared George Brunelle, a sole practitioner located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Essie Darlene Han 92-04339 Name of Respondent William H. Sharp, doing business as. Consumer Financial Service Inc. For Claimant: Essie Darlene Hart appeared pro se. For Respondent: William H. Sharp, doing business as Consumer Financial Service Inc., appeared pro se. CASE INFORMATION Statement of Claim filed: December 29

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alan and Paula Taylor The Tower Consulting Group, Inc. vs. 92-04332 Name of Respondents Titan/Value Equities Group, Inc. Oxford Consolidated Corporation Oxford Capital Securities, Inc. AJF Financial Services James A. Sehn Samuel O. Forson Heyward H. Mitchell Andrew J. Friedman REPRESENTATION For Claiman

N A.S.D- AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Mazur 92-04328 Name of Respondent David A. Noyes & Company REPRESENTATION For Claimant at the hearing: Mark S. Boyle, Esq., Chicago, Illinois. For Respondent at the hearing: Thomas P. Ward, Esq. of McBride Baker & Coles, Chicago, Illinois. CASE INFORMATION Statement of Claim filed: December 24, 1992. Claimant's Sub

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In (he Matter of the Arbitration Between Name of Claimants Robert Hesse; Joyce Hesse: and International Logistics, Ltd. • 92-04327 Name of Respondents Stratum Oakmont, Inc.; and William J. Mooney REPRESENTATION For Claimants: Robert Hesse, Joyce Hesse and International Logistics, Ltd. ("Claimants") were represented by Daniel R. Kirshbaum, Esq. of Axelrod, Smith, Komiss & Kirsh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna Marino Case# vs. 92-04321 Name of Respondents Cowen & Company Donald G. Zifchak REPRESENTATION For Claimant, Donna Marino ("Claimant"), Christopher Mariey, Esq., located in Troy Fort, New York. Mr. Mariey withdrew as Claimant's counsel by letter dated January 5, 1994. For Respondents, Cowen & Company and Donal

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Aaron and Sophie B. Blecker 92-04317 Name of Respondents Mutual Services. Inc.. Division of Cowles. Sabol & Company, Inc. Gregory E. Ricca CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1992. Claimants Aaron & Sophie B. Blecker, who appeared Pro Se, allege

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02553 Charles Schwab & Co., Inc., claimant vs. Jay L. Gabbert and Kelly B. Gabbert, respondents. ATTORNEYS: For Claimant appeared Edmund V. Saucedo, Esq., in-house counsel, San Francisco, CA. Respondents did not submit a response to the Statement of Claim. DATE FILED: May 15, 2001 CASE SUMMARY: Claimant alleged that respondents failed to repay the debit balance on their margin accou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William F. Addington 92-04316 Name of Respondent Marcos Figueirado For Claimant: William F. Addington appeared pro se. For Respondent: Marcos Figueirado was not represented by counsel and did not appear at the hearing. CASE INFORMATION Statement of Claim filed: December 23, 1992. Claimant's Submission Agreement signed o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michel H. Yuspeh Award vs. #92-04313 Name of Respondents Bear Steams & Company Stratton Oakmont, Inc. Paul J. Greco REPRESENTATION For Claimant, Michael Yuspeh ("Claimant"), Ralph A. Gant Esq., located in New York, New York. For Respondent, Bear Steams & Company ("Bear Stearns"), Franklin D. Ormsten, Esq. from t