NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: NASD-DR Arbitration Number 01-02203 Lloyd Slaughter (Claimant) vs. Janet Surface (Respondent) ATTORNEYS: For Claimant: Martin J. Glasser, Esq. of the law firm of Glasser, Casey & Rollins, LLP For Respondent: James Cagle, Esq. DATE FILED: April 24, 2001 Uniform Submission Agreement signed by Claimant: April 12, 2001 CASE SUMMARY: Claimant alleged breach of contract, conversion, and bre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Clai-mants Edward Garvin and Linda Garvin . Name of the Respondents Morgan Stanley DW Inc., and Charles R. Monahan, Jr. Case Number- 00-00810 ng Site- Philadelphia, Pennsylvania RF.PRF.SFNTATTDN OF PAKTTF.S Claimants Edward Garvin and Linda Garvin, hereinafter collectively referred to as "Claimants", were represented by Douglas R. Lally, Esq., Attorney at

AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Paine Webber Incorporated v. Name of Respondent Robert L. Cirillo Arbitration No. 96-04829 For Claimant: For Respondent: REPRESENTATION Kathryn L. Krebs, Esq. Paine Webber Incorporated Los Angeles, California No Appearance Statement of Claim filed: CASE INFORMATION Claimant's Submission Agreement

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Larry Paletz Anglo American Corporation v. Name of Respondent Ronald De Jong Prudential Securities, Inc. Arbitration No. 96-04828 REPRESENTATION For Claimants: For Respondent Ronald DeJong: For Respondent Prudential Securities' Inc. Edward J. Mclmyre Solomon, Ward, Seidenwurm & Smith San Diego, Cali

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04823 Steven Van Pelt, claimant vs. Pacific Coast Financial Securities, Inc. and Don Tulio Morandini, respondents. ATTORNEYS: For Claimant appeared Montgomery G. Griffin, J.D., Newport Beach, CA. Respondent Pacific Coast Financial Securities, Inc., did not respond to the Statement of Claim. Respondent Don Morandini appeared Pro Se, Huntington Beach, CA. DAT

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Seth Kanarick and Glen Kanarick a/s/o Meyers, Pollack, Robbins, Inc. (Claimants) vs. William Myshkoff (Respondent) Case Number: 96-04822 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Seth Kanarick ( a S. Kanarick") and Glen Kanarick ("G. Kanarick") a/s/o Meyers, Pollack, Robbins, Inc. ("MPR"),hereinafter collectively referred to as "Claimants"

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Cruttenden Roth, Inc. 96-04821 Name of Respondent Felicia Choi REPRESENTATION For Claimant Cruttenden Roth, Inc. ("Cruttenden") appeared Paul I. Hamada, of the law offices of Keesal, Young & Logan, located in Long Beach, California. For Respondent Felicia Choi ("Choi") appeared Thomas D. Mauriello, Esq., a sole practitioner with offices in San Diego, Ca

NASD REGULATION, INC. FINAL ORDER In the Matter of the Arbitration Between Names of Claimants David Kast K.P.M., Inc. 96-04818 Names of Respondents Greenway Capital Corporation Dominick DeLorenzo Barry Morton Ferrari Joseph M. Guccione Fred Luthy For Claimants David Kast ("Kast") and K.P.M., Inc. ("KPM") (collectively "Claimants") appeared Jenice L. Malecki, Esq. of the law offices Singer Zamansky LLP located in New York, New

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-04814 Olde Discount Corporation, claimant vs. Valentino Price, respondent. ATTORNEYS: For Claimant Robert S. Anderson, Esq., in-house counsel located in Detroit, MI. Respondent did not respond to the Statement of Claim DATE FILED: October 15, 1996 CASE SUMMARY: Claimant alleged that respondent placed a sell order and was paid for 56 shares of Sears Roe

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Rauscher Pierce Refsnes, Inc., Claimant, v. No. 96-04812 Everen Securities, Inc., Bryan Scott McMillan, and Leonard V. Mauck, Respondents. REPRESENTATION OF PARTIES Claimant Rauscher Pierce Refsnes, Inc. was represeriild by Steven E, Aldous, Esquire, of Sayles & Lidji, located in Dallas, Texas. Respondents Everen Securities, Inc., Bryan Scot