N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Brent Berti CASE 97-00095 Name of Respondent Waterhouse Securities, Inc. REPRESENTATION Claimant Brent Berti ("Claimant") appeared pro se. Respondent Waterhouse Securities, Inc. ("Respondent") was represented by Arnold J. Feist, Waterhouse Securities, Inc. CASE INFORMATION The Statement of Claim w

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05048 PaineWebber, Inc., claimant vs. Olusegun B. Matthews, respondent. ATTORNEYS: For Claimant PaineWebber, Inc. appeared in-house counsel, Stephanie Morse-Shamosh, Esq., Weehawken, NJ. Respondent appeared Pro Se, Houston, TX. DATE FILED: November 12, 1996 CASE SUMMARY: Claimant alleged that respondent's voluntary resignation triggered a debt for a dr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Betty Murphy & Brian Murphy 95-01720 Names of Respondents Noble Investment Company of Palm Beach Jeffrey Schuler REPRESENTATION For Claimants, Betty Murphy and Brian Murphy ("the Murphys"): Robert Wayne Pearce of Lemer & Pearce, Fort Lauderdale, FL. For Respondent Noble Investment Company of Palm Beach ("Noble"): Cory B.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00678 Matthew E. Just, Jr. Name of the Respondents Hearing Site: Chicago, Illinois Stifel, Nicolaus & Co., Inc., Dalyne L. Shinneman, Michael E. Schenone, Kathleen S. Michael, David M. Hogan, and Edward L. Poth REPRESENTATION OF PARTIES Claimants Matthew E. Just, Jr. ("Just") Michael J. Gaertner, Esq. of the firm Lord, Bissell

cl AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert J. Shepard v. Arbitration No. 96-05804 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Robert J. Shepard ("Claimant") represented himself pro se. Charles Schwab & Co., Inc. ("Respondent") was represented by Gregory M. Scanlon, Esq., Charles Schwab & Co., Inc., San Francisco, California.

NASD DISPUTE RESOLUTION AWARD NASD DISPLTE RESOLUTION. INC. CASE: 00-02071 Kenneth J. Rampino and Susan M. Rampino, claimants vs. American Securities and Research Corp., Henry Diamond and Securities America, Inc., respondents. ATTORNEYS: For Claimant appeared Stephen R. White, Esq., Warwick, RI. Respondent American Securities and Research Corp. did not respond to the Statement of Claim. Respondent Henry Diamond appeared Pro Se, Providence, RI. Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02363 Joseph Stevens & Company, Inc., claimant vs. Brian Garnets, respondent. ATTORNEYS; For Claimant appeared Michael S. Colombo, President of Streetwide Asset Recovery Group, Inc., New York, NY. For Respondent appeared Howard S. Eilen, Esq. of the firm Lehman & Eilen, LLP, Uniondale, NY. DATE FILED: May 7, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: — Rrta Fisher (Claimant) vs. Fidelity Brokerage Services (Respondent) Case Number: 05-04473 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Rita Fisher hereinafter referred to as "Claimant": Ralph A. Gant, Esq., Law Office of Ralph A. Gant, Portsmouth, NH. Respondent Fidelity Brokerage Services hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel Barnathan (Claimant) vs. Neal Bohlman and Saxony Securities, Inc. (Respondents) Case Number: 05-01066 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Daniel Barnathan hereinafter referred to as "Claimant": Scott L Warfman, Law Office of Scott Warfman, Miami, FL. Respondent Neal Bohlma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00928 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Tampa, Florida Francis Hartley-Edwards Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Leslie Reese, Esq., Raymond James Financial Services, Inc., St. Peter