NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Merrill Lynch Pierce Fenner & Smith Inc Thomas W. Mauser Susan M. Kastle 96-01967 Name of Respondents Terri Blair Lawrence W Forlenza REPRESENTATION For Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), Thomas Hauser ("Mauser") and Susan Kastle ("Kastle") collectively "claimants", and for Third-Party Res

AWARD MASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant fs) R.E. Lance Cleaver Arbitration No. 96-01958 Name of Respondentf A.T. Brod & Co., Inc. Paul Martin Moeller Curtis R. Papazian James Dale Green, Jr. Julia A. Mold-Torres REPRESENTATION For Claimant: R.E. Lance Cleaver, Salinas, California For Respondent Curtis R. Papazian: Curtis R. Papazian, Oceanside, Ca

* \ + N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Joseph W. and Janice D. Hoffman 96-01947 Name of Respondent Steven D. Manning REPRESENTATION For Claimants Joseph W. and Janice D. Hoffman ("the Hoffmans"): Russell L. Forkey, Esq., Fort Lauderdale, Florida. For Respondent Steven D. Manning ("Manning"): Steven R. Reininger, Esq., of Rasco & Reininger, Miami,

f- f . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William H. Schmieder 96-01946 Names of Respondents i Retirement Investment Group, Inc. I Gail Ann Gentry ; TEI Strategies, Inc. Aragon Financial Services, Inc. Thomas Cannon ! i REPRESENTATION | For Claimant: Jeffrey P. Coleman, Esq., Clearwater, Florida. I For Respondent Retirement Investment Gro

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jeff D. McGee 96-01943 Name of Respondents Jack Basile Mark Mancino Mark Antonucci REPRESENTATION Claimant Jeff D. McGee ("claimant") appeared Pro Se. For Respondent Jack Basile ("Basile") appeared Michael Ference, Esq. of the law firm Lampert & Lampert located in New York, New York.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02063 Anthony Sterling Magnoli, claimant vs. National Discount Brokers, respondent. ATTORNEYS: Claimant appeared Pro Se, Meriden, CT. For Respondents appeared Richard Cadigan, Compliance Officer, Jersey City, NJ. DATE FILED: April 24, 2001 CASE SUMMARY: Claimant alleged that respondent made an unauthorized sell out of 835 shares of Alexion Phar. Inc. to pay off a margin call that he

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Michael Kenney and 96-01937 Name of Respondents Gilbert Marshall & Co., Inc. Michael Usher John B. Guyette Richard J. Tyler Gary Boidt Thomas D. Meehan Douglas A. Glaser Daniel Lehl REPRESENTATION OF PARTIES William Michael Kenney ("Claimant") was represented by James A. Sigler, Esq., Granada Hills,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas D. Brandi 96-01936 Name of Respondents A.G. Edwards & Sons, Inc. Stephen Kovach CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on May 6, 1996^- claimant Thomas Brandi ("claimant"), who appeared Pro Se, alleged that respondents A.G. Edwards db.r Sons, Inc. ("Edwards")

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Fred Kayne v. Arbitration No. 96-01926 Name of Respondent Bear Stearns, Inc. REPRESENTATION For Claimant: Fred Kayne In pro per Los Angeles, California For Respondent: Robert H. Logan, Esq. Richard W. Smirl, Esq. Keesal, Young & Logan Long Beach, California CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beatrice Landau 96-01923 Name of Respondents Schroder Wertheim & Co. Inc. Frederica Miceli Balis Firestone Lewittes & Coleman, Inc Stuart Coleman & Co. Inc. REPRESENTATION For Claimant Beatrice Landau ("Claimant") appeared Paul Landau, Esq., solepractioner, located in Van Nuys, California. Respondent Frederica Micel