N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05646 Harold and Susan Klemer, claimants v, L.T. Lawrence & Co., respondent. ATTORNEYS: For Claimants Claimants appeared pro se - Beverly Hills, CA. For Respondent Appeared Ruthann G. Niosi, Esq. - New York, NY. DATE FILED: 12/20/96 CASE SUMMARY: Claimants alleged failure to following instructions to sell EcoTyre Technolog ies, Inc. Warrants. C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01404 K.C. Remington, Claimant vs. Morgan Stanley Dean Witter Online, Respondent. ATTORNEYS Claimant, K.C. Remington, appeared Pro Se, Micanopy, FL. Respondent, Morgan Stanley Dean Witter Online, appeared through its in-house counsel, Richard Smith, Esq., New York, NY. DATE FILED: March 20, 2001 CASE SUMMARY: Claimant alleged Respondent had been negligent in handling the Claimant's

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Advanced Management, Inc. 96-05640 Name of Respondents Primerica Financial Services Investments Boston Alexander REPRESENTATION Claimant Advanced Management, Inc. ("AMI") was represented by Robert E. DeRight, Jr., Esq., New York, NY. Respondent Primerica Financial Services Investments ("PFSI") was represented by Michael Waldman, Esq. of Fried, Frank, Ha

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between! Name of Claimant Steven R. Bruno 1 J / ' . 96-05639 Name of Respondents VTR Capital, Inc. Phillipe Steinitz REPRESENTATION Claimant Steven R. Bruno ("Claimant") appeared pro se. For Respondents VTR Capital, Inc. ("VTR") and Phillip Steinitz ("Steinitz") appeared Perri Erianger, Esq. of the firm Bernstein & Wasserman located in New York, New

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Brendan McCarthy 96-05636 Name of Respondents Lehman Brothers Inc. Gerry Tamburro REPRESENTATION Claimant Brendan McCarthy ("Claimant") appeared pro se. For Respondents Lehman Brothers Inc. and Gerry Tamburro ("Respondents") appeared Thomas E. Hommel, Esq., in-house counsel for Lehman Brothers Inc., located in New York, NY. CASE INFORMATION The Statement

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Stan M. Erdieich 96-05635 Names of Respondents A.S. Goldmen & Company, Inc. Stuart E. Winkler Lisa Marie Cennamo REPRESENTATION Claimant Stan M. Erdieich ("Claimant") appeared pro se. For Respondents A.S. Goldmen & Company, Inc. ("Goldmen") and Stuart E. Winkler ("Winkler") appeared Lewis Goldberg, Esq., with law offices located in Norwalk, Connecti

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05634 Gordon Meyer, claimant v. Alex Shindman, respondent. ATTORNEYS: Claimant appeared pro se - Spring Valley, NY. Respondent did not appear. DATE FILED: 12/19/96 CASE SUMMARY: Claimant alleged bad investment advise in the sale of stock. Claim Data Award Data Claim: $1,968.00 Award: $1,968.00 -"^ Punitive: $200.00 Punitive: $.00 u Atty Fees: $

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. ==^^^^^^^^^^^^=s^=^^^^^a^a^^a^Sa=ga^gi^^g^^^^B=!^B[^=e=sg:s5g3^=g^=ii ,-v *•-. i"~=i=™^==as==u»»^gaabB^as^j^»Bs=Bs^=aa CASE: 96-05633 Joseph I. Hungate, HI, claimant vs. Sands Brothers & Co. Ltd and Todd Cirella, respondent;;. ATTORNEYS: Claimant appeared Pro Se, Arlington, VA. For Respondents, appeared Chief Compliance Officer, Berton Seltzberg, New York, NY. DATE FIL

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bernardo S. Orina, Claimant vs. A.L. Williams & Associates, Inc., First American National Securities, Primerica Financial Services, Inc., PFS Investments, Inc., Travelers Group, Inc., Primenca, Smith Barney, Inc. and Primerica Life Insurance Company, Respondents. Case Number: 96-O5632 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Bernardo S. Orina

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05631 Robert Redfield, claimant vs. A.S. Goldmen & Co. Inc. and Greg Gaydos, respondents. ATTORNEYS: Claimant appeared Pro Se - East Brunswick, NJ. For Respondents appeared Carole E. Bernstein. Esq., Nowalk, CT. DATE FILED: December 1, 1996. CASE SUMMARY: Claimant alleged omission of facts, false claims, misinformation and failure to execute trades as agre