NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04959 Julian and Rosalie Kapalka, Claimants vs. Suretrade, Inc., Respondent. ATTORNEYS: Claimants appeared Pro Se, Havertown, PA. For Respondent appeared Michael R. Parodi, Suretrade, Inc., Lincoln, RI. DATE FILED: November 8, 2000 ARBITRATOR'S REPORT: fees assessed against respondent due to Claimant's understanding that he should "send a new check." CASE SUMMARY: Claimant alle

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant; Siegfried Moreno -Badillo 91-01782 Name of Respondents: PainfiWebber, Inc. Jaf frey Sesnan For Claimant: Claimant appeared pro se at the hearing. For Respondents: Joseph Vallo Esq., in house counsel at PaineWebber, Inc. CASE IHPCBMKTH1T Claimant filed a Statement of maim dated June 7 , 1991 and executed a Submission Ag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Elaine Zekind vs. Case #91-01778 Name of Respondents Robert A. Semon Phillips, Appel and Walden, Inc. Gruntal & Co., Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. ruBi-M REPRESENTATION For Claimant Elaine Zekind: Donald V. Pohimeyer, Esq. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Robert D. & Sally P. Rogers / Claimants vs. ; CASE# 91-01769 AWARD Merrill Lynch, Pierce Fenner & Smith, Inc. i Respondent ; ; CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1991, Claimant Robert D. & Sally P. Rogers who appeared pro se, alleged that Respondent Merril

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Aifcitration Between Of Albert and Ana Chicle vs. NASD #91-01764 , Inc. Jodie Cohen Steven. FOOT daimmts: Ann Chick represented Claimants For Respondents: Joa L. Rewinflki, Esq., KlTVtol & Andersen, Los Angeles, California. case nwjmmrii Statement of ma-im filed: June 7, 1391 Claimants' ft**»*«MH< ^ Agreement signed cut My 13, 1991 Joint Statame

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBOJRITIES DEALERS _ _ _ In the Matter of the Arbitration Between ) ) Of Charles and Suzanne Canpicn Name of Respondent (a) A.G. Edwards & Sons, Inc. Dennis Madler Guy B. RisJca Arbitration National Aaaodation of SecorHto* OMfera, Inc. One East Browa/d Boulevard Ft^JdZIteto. Florida 33301 (305) 522-7391 Case No. 91-01750 For Claimants, Charles and Suzanne Campion ("Campion")

N.A.S.D. NATIONAL ASSOCIATION OF ShXJUKITlKS DEALERS In the Matter of the Arbitration Between ) Name Of Claimant (3) ) Eileen & Herbert Winkler ) . ) Case No. 91-01749 Name of Princeton Financial Group, Inc. ) Anthony France! ) Charles Brinble ) Jerry Frederick Shorthcuse ) Anthony Joseph Pontieri ) For Claimants, Eileen & Herbert Winkler ("the Winfclers"): Joshua Reynolds, Esq. of the law office of Joshua E. Reynolds. Respondent

N.A.S.D. AWARD NATICNftL ASSOCIATION OF SECURITIES DERLERS, INC. In the Matter of the Arbitration Between Name of ClaJTnant(s) Seawell Bowles 91-01748 Name of Respondent (s) Larkin (Hanett A.) Co., Inc. Peter K.N. Dicfcson CASE SOMMRRY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1991, Claimant, Seawell Bowles, who appeared Pro Se, alleged that respondent Bnnett A. Larkin Coopany, Inc. failed to f

N.A.S.D. AWBKD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (3) Charles & Farris Chaptn 91-01744 Name of Respnnrignt(s) Merrill Lynch Pierce Fermer & Smith, Inc For Claimant: L. Bruce Mrnaniel, Esq. of DeBank, McDanlel & Anderson. For Respondent: William J. Crowe, Jr., Esq., In-house counsel for Merrill Lynch Pierce Fenner & Smith, Inc. case INPCBMKTICN Statement of Claim filed: June 14, 199

N.A,S.D. AW&RD NKTICNRL ASSOCIATION OP SECURITIES DEMURS In the Matter of the Arbitration Between Q£ Arbitration National Association of Securities Dealers, Inc, NASD Financial Center 33 Whitehall Street New York, N.Y. 1 0004 FAX {2 12) 858-4389 PaineWehber, Inc. vs. Name of Case # 91-01743 Stan Meaner For Claimant: Edward Werner, Esq., in-house counsel. For Respondent ; Mo one appeared on his behalf. Statemen