PIIRflC Arbrtration N.A.S.D-. AWARD National Association of Securities Dealers, Inc. NKTICNAL ASSOdRTXCN OP SmURi'l'l Bfi EEAI£RS NASD Fnancial Center 33 Whitehall Street — = - _ u „ „„ - 2-Iu - » . ._ - ; - r-r- - New York. N.Y. 1 0004 In the Matter of the Arbitration Between. FAX (212)858-4389 flfama o Gretie A. M-Hnam & Doleres R. Harvey Case ft vs. 91-03531 Invest Financial Carp. For Claimants, Cretie A. *< ***r*arrt *

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Antonio & Carolyn Romano Claimants vs. Albert A. Matani Respondent SUMMARY PUBLIC CASE #91-03529 AHARD In a claim filed with the National Association of Securities Dealers, Inc. on November 8, 1991, Claimants, Antonio & Carolyn Romano who appeared Pro Se, alleged that Respondent Albert A. Matani, a registered representative of Kochcapital, e

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05269 Theodore K. Krueger, claimant vs. Charles Schwab & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Sturgeon Bay, WI. For Respondent appeared Mauricio S. Beugelmans, Esq., in-house counsel, San Francisco, CA. DATE FILED: November 28, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute trades as requested thereby causing a loss in his account. Claim

i Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Mame of Claimants Cameron Grammas and J. Gusty Yearout 91-03525 Name of Respondents Bradford (J. C.) & Co. For Claimants Cameron Grammas ("Grammas") and J. Gusty Yearout ("Yearout"): Ca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sarah & David Berens David L. Berens,M.D. T P.C. Pension Plan 91-03524 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Michael C. Fitch REPRESENTATION For Claimant: James I. Myers. Esq. of Renaldo. Myers, Regan & Palumbo, P.C. For Respondent: Carolyn Nussbaum. Esq. of Nixon, Hargrave, Devans & Doyle.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF- SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jerry C. Ayoub and 91-03523 — Name of Respondents . ^^-^ ._^^^__ -, ~&i~ Shearson Lehman Brothers, Inc. Harry Winters REPRESENTATION OF PARTIES Claimant was represented by Mark Grissom, Esq. r El Paso, Texas. Respondents were represented by Joseph L. Hood, Esq. of Scott, Hulse, Marshall, Feuille, Finger &

Arbitration ® National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATICNAL ASSOCIATION OP SB"*mi'["ra DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 III the Matter of the Arbitration Between Name of Claimant James F. Butterworth 91-03520 Name of Respondent Fidelity Brokerage Services, Inc. Claimant James F. Buttezworth appeared pro se. For Respondent Fidelity Brokerage Servic

Arbitration N.A.S.D. AWARD ASSQCIATICN OF hajJkiTlhS DEALERS In t±ie Matter of the Arbitration Between Name Of Lindsay H. Welling, Jr. vs. of Robert V. Ballard National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 91-03518 Lindsay H. Welling, Jr. ("Claimant 1 *) represented himself. For Respondent, Cowen & Co., Inc. ("Cowen

N.A.S.D. AWARD f gCT?flfl nr?rr SEP 13 1993 — Vy^U U L3l NATIONAL ASSOCIATION OF SECURITIES DEALER In the Matter of the Arbitration Between Name of Claimant(s) Milton & Elaine Rubin Case No. 91-03515 Name of Resoondent(s) Prudential-Bache Securities Inc. Donald Lockshin REPRESENTATION For Claimants, Milton and Elaine Rubin ("the Rubins"): Keith T. Gnimer, Esq. of Keith Mack Lewis. For Respondents, Prudential Securitie

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE #91-03513 AWARD In Che Matter of the Arbitration Between Sol Herman Trust, Sol Herman as Trustee Claimant vs. Prudential Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1991, Claimant, Sol Herman as Trustee, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc.'s registered repres