N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants The Brewster Family Living Trust Warren E. and Fern H. Brewster 96-02979 Name of Respondents Retirement Investment Group Sunpoint Securities, Inc. Aragon Financial Services, Inc. Signal Securities, Inc. Thomas Cannon Gail Ann Gentry TEI Strategies, Inc. REPRESENTATION For Claimants: Jeffrey P. Coleman, Esq.

"7'* AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Cherrill Witham, IRA v. Arbitration No. 96-02978 Name of Respondents -TConcord Financial Counselors, Inc. Titan/Value Equities Group N. Terrry Anderson Glen J. Lutz REPRESENTATION OF PARTIES Cherrill Witham ("Claimant") was represented by B. Kevin Burgess, Esq., Watkinson'-Laird'' Rubenstein & Lashway, Port

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration B etween Stephen 0. Orr, Claimant, v. Case Number 96-02973 Merrill Lynch, Pierce, Fenner & Smith, Inc., and Michael Ellis, Respondents. REPRESENTATION OF PARTIES Claimant Stephen O. Orr ("Claimant") was represented by Scott D. Stechman, Esq. of Smith Campbell & Paduano located in New York, New York. Respondents Merrill Lynch, Pierce, Fenner & Smith,

ORDER NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Washington Mutual Bank v; Arbitration No. 96-02971 Name of Respondents) Salomon Brothers, Inc. On April 15, 1997, the undersigned arbitrators convened a hearing on Respondent's Motion for Summary Judgment on statute of limitations grounds. Having read the briefs and heard oral argument on the motion, the undersigned arbitr

NASD REGULATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Hedy A. Kuzmack and The Michael S. Kuzmack and Hedy A. Kuzmack Trust Case Number 96-02970 Name of Respondents Edgar W. Brick William B. Boyd, HI Edward C. Rorer Gurney Sloan, Jr. James Gay Hesser Frank Stanton Moyer Brick & Kyle Associates Inc. Clifford B. Storms, Jr. William L. Kufta Th

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. 96-02969 Name of Respondent David Ellrich REPRESENTATION For claimant Oppenheimer & Co., Inc. ("claimant") appeared Lynn E. Judell, Esq. of the law offices Rosenthal Judell & Uchima located in New York, New York. For respondent David Ellrich ("respondent") appeared Pete S. Michaels, Esq. of the law offices Murphy, MacKenzie, Mich

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard A. Moeller 96-02964 Name of Respondents Richard C. Cioffi, Jr. State Street Capital Markets Corp Christopher A. Carra (Settled) Donald Sedy (Settled) CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on April 11, 1996, claimant Richard A. Moeller ("claimant") who a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities Inc 96-02963 Name of Respondent Jeffrey Liss CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on July 11, 1996, claimant JW Charles Securities ("JWC") through its representative and in-house counsel Gregory Tendrich, Esq. alleged that respondent Jeffrey Li

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Raymond and Dianna Rogers 96-02960 Name of Respondents Dean Witter Reynolds, Inc. John Tekeser CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July Hy 1996, claimants Raymond and Dianna Rogers ("claimants or D. Rogers"), who appeared Pro Se, alleged that respondents Dean Witter Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05114 Janney Montgomery Scott, LLC, claimant vs. Adam F. Igberman a/k/a Adam Ingberman, respondent. ATTORNEYS: For Claimant, appeared Nicholas K. Notias, Esq., of the firm Capetanakis and Preite: New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: November 17, 2000. CASE SUMMARY: Claimant alleged breach of contract when Respondent failed to pay his