NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00651 Daniel T. Schneider and Hildi E. Schneider, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Sparta, NJ. For Respondent appeared in-house counsel Keith Guilfoyle, New York, NY. DATE FILED: February 14, 2000 CASE SUMMARY: Claimants alleged that respondent failed to execute a sell order of 2000 shares of Interactive Telesis - OTCBB

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of James Polish vs. 91-02786 of Merrill Lynch, Pierce, Fenner & Smith, Inc. Barry S. Rochlin claimant: Claimant > '•i^gmtFd himself . For Respondents; Maren E. Nelson, Esq., Morrison & Foerster, Los Angeles, Calif ornia. GASB Statanent of rialm filed: Septeifcer 6, 1991 Claimant's Submission Agreement signed en: August 27, 1991

N.&.S.D. AWARD ASSQCIOTICK OF SECORITIES DEALERS In the Matter of the Arbitration Between Of Melvin & Janice Ruth vs. NASD #91-02784 Name of Respondent Charles Schwab & Company, Inc. Par claimants: Melvin Anchell, M.D*, M< qq-Jm viejo, California For Respondent: Joseph L. Aldridge, .Qar* Francisco, Statement of (Tlalm filed: September 18, 1391 ma-tTnan^g* Sutmission Agreements signed: August 26 f 1991 Statement of Answer filed by

N.A.S.D. AWARD ASSOCIATION OF SECURITIES HEALERS In the Matter of the Arbitration Between Hersel Mikaelian vs. NASD No. 91-02780 Kennedy Cabot. & Co, Inc. For Claimant: Hersel M< v»oi ^ 3^1 For Respondents George Supper, Esq. Statanent of naim filed: September 20, 1991 Claimant's Sutndssion Agreement signed en: August 8, 1991 Statement of Answer filed by Respondent on: January 20 , 1992 Respondent's Submission Agreement signed on: December 2

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02776 AHARD In the Matter of the Arbitration Between Mary A. and Claude K. Sims Claimants vs. Integrated Resources Equity Corporation Integrated Resources Investment Center, Incr. Henry Miller Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimants, Mary A. and Claude K. Sims, who appeare

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-02771 AHARD In the Matter of the Arbitration Between James W. and Sandra J. Bumstead Claimants vs. G. K. Scott & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimants, James W. and Sandra J. Bumstead, who appeared Fro Se, alleged that the brokers and managers of Respondent G.K. Sc

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Lincoln & Ruth H. Teng Claimants CASE #91-027645 - AWARD Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimants Lincoln & Ruth Teng, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc., through its broker, James A

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-02765 AWARD In the Matter of the Arbitration Between Leonard M. Schwab Claimant vs. Ross Supnik Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimant Leonard M. Schwab who appeared Pro Se, alleged that Respondent Ross Supnik, financial consultant for Shearaon Lehman Hutton, made inappropriat

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00806 Walter A. Moede, Jr. Name of the Respondents . , Hearing Site: Chicago, Illinois Web Street Securities, Inc., Johnny Fiscus, and Edward McCarthy REPRESENTATTON OF PARTIES Claimant Walter A. Moede, Jr. ("Moede") was represented by Laurence M. Landsman, Esq. of the firm Block & Landsman located in Chicago, Illinois. Responde

N.A.S.D. AWARD NATIONAL ASSOCTKTICN OF SfcXJJKTlTES DEALERS In the Matter of the Arbitration Between Of Wilraa Witlln Of HASD Arbitration Nb.91-02763 Merrill Lynch, Pierce, Fenner & flnrit-Hj inc. Marlene R, Dietrich For Claimant: Robert Marc WnrHn Esq., Los Angeles, California. For Respondents; Maren Nelson, Esq., Morrison & Foerster, Los Angeles, California. CBSB THPCBMBJICK Statement of 01 aim filed: September 4, 1991 Clai