N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael D. Chermak 96-05714 Name of Respondent Kensington Wells, Inc. CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on December 24 r 1996, claimant Michael Chermak ("claimant"), who appeared Pro Se, alleged that respondent Kensington Wells, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01410 Vincent M. Rodriguez, claimant vs. Charles Schwab & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Pembroke Pines, FL. For Respondents appeared Beth Greenspan, Esq., in-house counsel, San Francisco, CA. DATE FILED; March 20, 2001 CASE SUMMARY: Claimant alleged that respondent did not process a trade to close the position of his DCX stock as requested by the claimant.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Bel ween Norcell D, Hayxvood Claimant, and No. %-057l2 International Assets Advisory Group Respondent. REPRESENTATION OF PARTIES Claimant, Norcell D. Haywood. was represented by Sally C. Hclppie. Esquire and David R. Gibson. Esquire of Bell £ Nunnally. PLLC located in Dallas, Texas. Respondent. International Assets Advisory Corporation ("International Asset

AWARD In the Matter of the Arbitration Between Laura Taylor, Claimant. v. Case Number 96-05711 Josephthal Lyon & Ross, Inc. Respondent. REPRESENTATION OF PARTIES Claimant, Laura Taylor was represented by Douglas R. Little, Esquire, Sole Practitioner, located in Houston, Texas. Respondent, Josephthal Lyon & Ross, Inc. was represented by Brian J. Neville, Esquire of Josephthal Lyon & Ross, Inc. located in New York, New York. CASE INFORMATI

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Avraham Balaban NASD CASE NO. 96-05710 Names of Respondents GKN Securities Corp., Eric Johnson and Edward Gallagher For Claimant: Stephen D. Spivey, Esq., Ocala, Florida. For Respondents GKN Securities Corp. ("GKN") and Edward Gallagher ("Gallagher"): Originally Katherine Nathan, Esq., Vice President of GKN Securities Corp, On November 20, 1998, NASD Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Adal, Cheyenne Management Inc., and Paradise Service Bureau Inc., (Claimants) vs. Smith Barney Inc. and Anthony Vaccaro, (Respondents) Case Number: 96-05709 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Kenneth Adal ("Adal"), Cheyenne Management Inc. ("Cheyenne"), and Paradise Service Bureau Inc. ("Paradise"), hereinafter collectively referred to as "C

SEP. 1.1998 10:57flM NASD REGULATION FL . NO.565 P.7 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jenda Miller A. Shirley MUler, JTWROS Shirley Miller 96-05708 Names of Respondents Sovereign Equity Management Corp. Steven J, Labrasciano Alex Rivera REPRESENTATION For Claimants: Vincent A. O'Brien, Esq. of the Law Office of Faugl & O'Brien, P.A., Tampa, F

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Jack Radak, IRA v. Name of Respondent Chadwick Financial Group, Inc., Fein McNeill, Inc., Darius Tourani, and Raymond P. Dowd Arbitration No. 96-05702 REPRESENTATION For Claimant: For Respondent: Chadwick Financial Group, Inc. Fein McNeil, Inc. Darius Tourani Joel Blank, Esq. Nancy K. Undem, Esq. Law Offices of Nancy

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(si Steven 0. Thomas Arbitration No. 96-05701 Name of Respondent(s) Landmark International Equities REPRESENTATION For Claimant: Steven 0. Thomas, Veradale, Washington For Respondent: William Nunziato, Whitestone, New York CASE INFORMATION Statement of Claim filed: December 24, 1996 Amendment to Statement of Claim filed: April 13, 1998 Claima

MflR.16.199B i:07PM NASD REGULPTION FL iiu.^-* N.A.5.D. AWARD NATIONAL ASSOCIAHON OF SECUIUTIES DEALERS In the Matter of the Arbitration Between • Name of Claimant PaineWebber Incorporated NASD CASE NO. 96-05699 Narne-Of-Respondent Barry M. Plotkin For Claimant: Patricia E. Cowart, E&q., Senior Associate General Counsel of PaineWebber Incorporated. For Respondent; Delmer C. Cowing IE, Esq. of Delmer C. Gowing IB, P,A. CASE INFORMATION St