N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rauf Diab 96-03546 Name of Respondent E*Trade Securities, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 16, 1996. claimant Rauf Diab ("claimant") who appeared Pro Se, alleged that he purchased put options through respondent E*Trade Securities, Inc. ("E*Trade"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert A. and Ellen M. Doratz 96-03545 Name of Respondent Jeffrey S. Stone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1996, claimants Robert A. and Ellen M. Doratz ("claimants"), who appeared Pro Se through Robert A. Doratz ("claimant"), alleged that respondent Jeffrey S.

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Constance Sandorff William Sandorff 96-03544 Name of Respondents Morehead Investment Advisors, Inc. De Rand/Pennington/Bass Inc. George E. Brooks REPRESENTATION Claimants Constance and William Sandorff ("Claimants") were represented by William B.L. Little, Esq., of Little & Little, PLLC, Raleigh, NC. Respondent

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Raymond C. Robinson, Claimant, and No. 96-03539 NationsSecurities, Respondent. REPRESENTATION OF PARTIES Claimant, Raymond C. Robinson, was represented in pleadings pro se, and at the hearing by James C. Robinson, Jr., Esquire of Law Offices of Pat Maloney, P.C., located in San Antonio, Texas. Respondent, NationsSecurities, was represented by Rodney

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05159 Fidelity Brokerage Services, LLC, claimant vs. Majed A. Katbi, respondent. ATTORNEYS: For Claimant, Fidelity Brokerage Services, appeared Laurence K. Richmond, Esq., Quincy, MA. Respondent did not respond to the Statement of Claim. DATE FILED: November 21, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed which were credited to his account er

NASD REGULATION STIPULATED AWARD In the Matter of the Arbitration Between Name of .Claimant J.W. Charles Securities, Inc. 96-03528 Name of Respondent Frank Terzo REPRESENTATION For Claimant J.W. Charles Securities, Inc. ("claimant"), appeared Charles Scarlett, Esq.. in- house counsel for claimant. For Respondent Frank Terzo ("respondent"), appeared DominiekJ. Porto, Esq., witftlawoffices located in New York City, New York. Statement of C

JJN-03-39 16=06 FROM=NASD REGULATION ID= PAGE 11/16 NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert and Marsha Rosenberg Sayer 96-03527 Name of Respondents Smith Barney, Inc. (n/k/a Saloman Smith. Barney, Inc.) Michael Morris ^PRESENTATION Claimants Robert and Marsha Rosenberg Sayer ("Claimants") were represented by Lawrence F. Ruggiero, Attorney at Law, New

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants'! Christopher Turnbul! (#96-03521) Ann Delaware (#96-03565) v. Award Consolidated Cases Name of Respondent^ #96-03521/#96-03565 La Jolla Capital Corporation Florence Sarah Pollard Daniel Winter Harold B. Gallison, Jr. REPRESENTATION For Claimants: Arthur S. Leider Investors Arbitration Specialists San Diego

MAY.I1.1998 9=53AM NPSD REGULATION FL HQ.3Z4 P. 8 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name David Jeff MarguHes 96-03519 Names- gOiespondents John G, Orosey, Jr. Lehwald, Orosey & Pepe Incorporated For Daimant David Jeff Margulies ("Margultes"): Charles E. Steinberg, Esq. of Stuart, Florida. For Respondents Leawald, Orosey & Pepe, Incorporated ("LOP") and John G. Orosey, J

N.A.S.D. AWARO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard A. Baumer, Sr. & Frances Baumer 96-03513 Name of Respondents Hanover Sterling & Co., Ltd. Peter Palmieri Andrew Gonzales REPRESENTATION For Claimants: Stephen D. Spivey of the Law Offices of Stephen D. Spivey, Esq., Ocala, FL. For Respondent Peter Palmieri; Robert K. Savage, Esq., Tampa, FL. The Respondent Andr