NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04973 Lev Dorfman, Claimant vs. Fidelity Brokerage Services, Inc and Michael Seager, Respondents. ATTORNEYS: Claimant, Lev Dorfrnan, ("Claimant"), appeared Pro Se., Skokie, IL. Respondents Fidelity Brokerage Services, Inc. and Michael Seager, (collectively "Respondents"), appeared David C. Boch, Esq. and Eunice E. Lee, Esq. of the firm Bingham Dana, LLP: Boston, MA. DATE FILED: Nov

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leslie Rosenquist, Claimant v. Miles James Ennis, HI, Peter Kolbjorn Tenfjord, Michael Hans Weston, and Tradeway Securities Group, Inc., Respondents Case Number: 00-00505 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Richard Bryson, Esq. Attorney at Law San Diego, California For Respondents: Scott M. Kolod, Esq. Darlene R. Kowalczyk, E

N.A.S.D. AWARD In the Matter of Arbitration Between Name of Claimant Michael Blueweiss 91-02315 Name of Respondents David Lerner Associates, Inc. Roger Waldeck REPRESENTATION For Claimant Michael Blueweiss (Blueweiss) : Sebastian Ragusa, Esq. and Cynthia McGuire, Esq. of the law firm of Sebastian Ragusa. For Respondents David Lerner Associates, Inc. and Roger Waldeck: Robert J, Hume, III, Esq. of David Lerner Associates, Inc. CAS

1LA.S.D. AWARD Arbitration ® National Association of NRTICNAL ASSOCEATICN OP SHUURiTlfc&i DEALERS Securtttea DMtors, Inc. One East Broward Boulevard in the totter of tb. A^itration Betaken R update, Honda 33301 (305) 522-7391 Name of Claimant(s) Robert T. Sianrell 91-02314 Mama of Reepcndmt(s) Shearscn Lehman Batten, Inc. For Claimant: L. Bruce McDaniel, Esq. of DeBank, McDaniel & Andersen. For Respondent: George C. Covingtcn, Eaq. o

N.A.S.D. AWftKD ASSOCIATION OF In the Matter of the Adsitration Between Name of cna'tra^ts John Vitolo, Frances T. Vitolo and W. Vitolo vs. 91-02313 Name of Charles Schwab & Ccnpany, Inc. For Claimant: John Vitolo, 9331 Holt Road, Harml, California 93923. For Respondent: Richard Dangerfield, Esq., Charles Sctwab & Corpany, Inc., 101 MmtyuLJecy Street, The Schwab Building, San Francisco, California 94104. CftSE Statement of Halm filed

N.A.S.D. AWARD NATIONAL ASSOCIftnON' OF SECURITIES T ffiaTJi!gg In the Matter of the Arbitration Between pf Michelle Haase 91-02312 Of Benefitscorp Equities, Inc. and William Corrln daimantr Michelle Haase was represented by Robert D. Mitchell, Esq. of Galbut & Associates of Phoenix, Arizona. Respondent, William Corrin appeared pro se. Respondent, Benefitsoorp Equities* Inc. was represented by Scott F. Sulley, Esq. of Howard & Gl

N.A.S.D. ASSOdMTCN OF SBGDRnTES TTFaLKRfl, INC. la tfaa Matter of tha Arbitration BetMoon of Fred C. & fiosemarie V. Mueller 91-02311 of pmi| M nHflfifca Pnvimtinl -Bache Securities Inc. Bernard Seyller SespGDdents were represented by Robert L. Jackatadt, Esq. of Paper, Martin, Jensen, M»-ir*iai and Betiage, St. Louis, 1C. The Statement of Halm was filed on or about July 30, 1391. Claimant's Submission Agreement signed on July 20, 1391 b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants -O*T" Lanay Locher-Alvarez & Donald R. Alvarez ^r 91-02306 Name of Respondents Shearson Lehman Hutton, Inc., now known as Shearson Lehman Brothers. Inc.; Christopher Tara REPRESENTATION For Claimant: Lanay Locher-Alvarez and Donald R. Alvarez were represented by Frank Lewis, Esq. of Langerman, Begam, Lewis and Marks, P.A.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 'a :h= Matter ct' ;he Argitrauon Berween Name of Claimants Ernest P. and Phyllis B. BUbuber 91-02296 Name of Respondents R.F. Latferry A Co., Inc. Securities Settlement Corporation Whitehall Securities. Inc. Erast & Company Joshua Fry Booth duBerrier & Co. Bedstone Securities Inc. Gorman Commodities and Securities, Inc. U.S. Clearing Corp. REPRESENTATION For Cl

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. Allison West 91-02295 Name of Respondents Oppenheimer & Co., Inc. Susan Chalom Thomas Jackson REPRESENTATION For Claimant: Gerry E. Feinberg of the law firm of Bower & Gardner. For Respondents Oppenheimer & Co., Inc. and Susan Chalom: John T. McGuire, Esq. The Respondent Thomas Jackson did not attend the hearin