A „ ORIGINAL Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Melanie Gartenbaum, Claimant v. Scottrade, Inc. and Peter James Horsfield, Respondents Scottrade, Inc., Counterclaimant v. Melanie Gartenbaum, Claimant/Counter Respondent Case Number: 01-01131 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter Respondent, Melanie Gartenbaum : Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Harold P. Stanley, Claimant, vs. 96-00019 Monroe Parker Securities, and Edward Albano, Respondents. REPRESENTATION OF PARTIES Claimant Harold P. Stamey ("Claimant") appeared on his own behalf Respondents Monroe Parker Securities ("MPS"), and Edward Albano ("Albano") (jointly referred to as Respondents") were represented by Marc Ross, Esq., o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Jimi S. Sidhu v. Name of Respondents Olde Discount Corp. and Aleksey Zhuk For Claimant: For Respondent: REPRESENTATION Jonathan Evans Jonathan Evans & Associates Los Angeles, California Lisa Fildes, Esq. Olde Discount Corporation Detroit, Michigan CASE INFORMATION Statement of Claim filed:

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jerrold B. Feldman Claimant NASD Arbitration v. No. 96-00016 Brown & Company Securities Corporation Respondent REPRESENTATION OF PARTIES Jerrold B. Feldman ("Claimant") was represented by Martin R. Deutsch, Esq., Singer & Deutsch, San Jose, California. Brown & Company Securities Corporation ("Respondent") was represented by Susan M. Boudrot,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ronald I. Palluth and Erika M. Palluth, Claimants, and No. 96-00013 W.B. McKee Securities, Inc. and DeedraK. Brown, Respondents, REPRESENTATION OF PARTIES Claimants Ronald I. Palluth and Erika M. Palluth were represented by Rick L. Lambert, Esquire and Jerry Alexander, Esquire, both of Passman & Jones, located in Dallas, Texas. Respondent W.B. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Judy Wong (Crump) Name of Respondents Invested! Capital Corp. Scott M. Symons Charles G. Maton Investech Agency Inc. 96-00011 REPRESENTATION For Claimant: Albert A. Rapoport, Esq., Boca Raton, Florida. For Respondents Investech Capital Corp., Investech Agency, Inc. and Charles G. Maton: J. Houston Lennard, P.C., Atl

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Walter F. Old v. Name of Respondents Financial Network Investment Corporation and Russ Bateman NASD Regulation, Inc. Arbitration No. 96-00008 REPRESENTATION For Claimant: For Respondents: Jules L. Federman Investors Rights Association, Inc. Santa Barbara, California Samuel Y. Edgerton, III Nash &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Delta First Financial, Inc. 96-00002 Name of Respondent Larry D. Yost CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 2, 1996, Claimant Delta First Financial, Inc. ("Claimant"), through its representative and counsel, Stephen Murphy, Esq., of Pino & Dicks, located in Longwood,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A. Joseph Fairbank 95-06099 Name of Respondents Stratton Oakmont, Inc. Daniel M. Porush Daniel M. Porush Representation For Claimants appeared Susan N. Perkins of Susan N. Perkins, P.C,, 575 Madison Avenue, New York, NY 10022. For Respondents: (a) Daniel M. Porush. Respondent Porush was represented by Wex

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Carmen Snow, Robert H. Keeney, Kimberly S. Baumgartner, Melinda A. Keeney, and Melissa A. Keeney, Claimants, and No. 95-06095 Stifel, Nicolaus & Co., Inc., and Jason W. Rauschelbach, Respondents. REPRESENTATION OF PARTIES Claimants, Carmen Snow, Robert H. Keeney, Kimberly S. Baumgartner, Melinda A. Keeney, and Melissa A. Keeney, were represented