NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01961 Randy Azarian, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Mountain View, CA. For Respondent appeared Robert K. Crowe, Esq., in-house counsel, San Francisco, CA. DATE FILED: April 18, 2001 CASE SUMMARY: Claimant alleged that respondent made unauthorized trades and were negligent in processing the sale of his post-split INTEL shares

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Doris M. Brennenman Case No. 00-00778 Names of Respondents Roger Jack Mouallem Martin Irwin Schaffer REPRESENTATION OF PARTIES Doris M. Brenneman ("Brenneman"), hereinafter referred to as "Claimant," appeared pro se. For Respondent Roger Jack Mouallem ("Moullam"): Delmer C. Cowing, III, Esq., Delray Beach, Florida. For Respondent Martin Irwi

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Roney & Co., Claimant and Counter-Respondent, v. No. 95-04206 Robert N. Sheppard Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Roney & Co. ("Claimant") was represented by Raymond W. Henney, Esquire of Honigman Miller Schwartz & Cohn located in Detroit, Michigan. Respondent and Counter-Claimant Robert

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Stephen S. & Karen S. Olds Name of Respondent Lew Lieberbaum & Company, Inc. v. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 95-04205 For Claimants: For Respondent: Statement of Claim filed: REPRESENTATION Robert A. Graham, Esq. Arcadia, California Brian B. Graifman, Esq. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George A. Spengler 95-04204 Name of Respondent James E. Rooney (withdrawn) John W. Nolan, II CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 1, 1995, claimant George A. Spengler ("claimant"), who appeared Pro Se, alleged that respondent John W. Nolan, II, a brok

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ingrid Osterheider 95-04202 Name of Respondents Oppenheimer & Co., Inc. James W. McMackin CASE SUMMARY * In a claim filed with the National Association of Securities Dealers, Inc. on September I, .1995, .Claimant,-. Ingrid Osterheider ("Claimant"), who appeared Pro Se, alleged that Respondents Oppei&eimfer:dbGai#c Inc.

N.A.S D AWARD NATIONAI AQgnriATTON OF SECURITIES DEALERS. TNr In the matter of the Arbitration Between Name nf Claimant David R. Robinson vs. NASD Arbitration No. 9504201 Name nf Respondent La Jolla Capital Corporation v. ;: : ' REPRESENTATION For Claimant: Andy Cook, Esq., San Diego, California For Respondent: James C. Weaver, Esq., San Diego, California ., CASE INFORMATION Statement of Claim filed: August 3 1,1995 Claimant'

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Nicholas Crupi 95-04200 Name of Respondents A.G. Edwards & Sons, Inc. Fred Brickel REPRESENTATION For claimant Nicholas Crupi ("claimant") appeared W. Randolph Kraft, Esq., a sole practitioner located in Jersey City, New Jersey. For respondents A.G. Edwards & Sons, Inc. ("A.G. Edwards") and Fred Brickel ("Brickel") (collectively referred to as the "respondent

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Incorporated and Case Number 95-04 195 Name of Resnondent Michael L. McDonald ", (i ; . , REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Janiece M. Longoria, Esq. of Andrews & Kurth located in Houston, TX. Michael L. McDonald ("Respondent") appeared pro se'. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas W. and Bernice W. Porter, Leticia Holt, Custodian for Zachary Holt, Leticia Holt, Dan Holt, Custodian for Jacob Holt, and Dan Holt 9504193 Names of Respondents (pixi..- i* r © National Association oi Securities Dealers. Inc. ^NationsSecurities, Inc. and Ted Kelly Smith A J A Claimants were re