NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:00-04581 Martin Gombo, claimant vs. Andrew Louis and Kami Khataunbadi, respondents. ATTORNEYS: Claimant appeared pro se, Lakewood, NJ. Respondent Kami Khataunbadi did not respond to the Statement of Claim. DATE FILED: October 16, 2000 CASE SUMMARY: Claimant alleged that respondents misrepresented information regarding trades made in his account. Claimant contended that respondents made inves

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Fahad M. Al Saja and Nouriah A. Al Hamda Case No. vs. 95-00890 Name of Respondents PaineWebber, Inc. Samir G. Sawabini William F. Kennedy REPRESENTATION For Claimants Fahad M. Al Saja ("Al Saja") and Nouriah A. Al Hamada ("Al Hamada"), collectively referred to as "Claimants", appeared Edward G. Toptani, Esq., a private practioner located in New York,

,MflR. 9. 1993 3=03PM NPSD REGULATION FL N0 .2ba * N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Helen W. Burbank Case No. 95-00880 P. 15/18 Merrill Lynch Fierce Fenner & Smith, Inc. Scon M. Griswold For Claimant Helen W. Burbank ("Burbank"); Randall W, Henley, Esq. and Joseph D. Farrish, Esq. of West Palm Beach, Florida. For Respondent

NASD Arbitration No. 95-00876 N r A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Kenneth W. Miller Name of Respondent(s) A.S. Goldmen & Company Robert Fox REPRESENTATION For Claimant: Steven Williams, Esq., San Diego, California For Respondents: Phoebe A. Wilkinson, Esq., Chadbourne & Parke LLP, New York, New York CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Statewide Securities Group, Inc. 95-00872 Name nf Respondent^ s) Vikki Ann Ciotti REPRESENTATION For Claimant Statewide Securities Group, Inc. ("SSG"): Robert DeVore, Esq. of the law offices of Robert DeVore, Sarasota, Florida. For Respondent Vikki Ann Ciotti ("Ciotti"): Robert Mudge, Esq. of the law offices of Robert Mudge, Venice,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen L. Johnson, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Joseph T. Pawelski and David B. Melquist, (Respondents) Case Number: 00-04580 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant Karen L. Johnson, hereinafter referred to as "Claimant": Arthur N. Bailey, Esq., Arthur N. Bailey & Associates, Jamestown, NY. Respondents, Merrill Lynch, Pie

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene Sadler, Claimant, v. No. 95-00868 Keith Kerczewski, Respondent. REPRESENTATION QF PARTIES Eugene Sadler ("Claimant") appeared on his own behalf- Keith Kerczewski ("Respondent") appeared on his own behalf. CASE INFORMATION Claimant's Statement of Claim was filed on or about February 17, 1995. Claimant's Submission Agreement was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bert Goldman 95-00863 Names of Respondents Prudential Securities Inc Floyd Jordan REPRESENTATION For Claimant Bert Goldman ("Goldman"): Christopher J. Twohey, Esq. of Bauer & Twohey;' P.A., Stuart, Florida. For Respondents, Prudential Securities, Inc. ("Prudential") and Floyd Jordan ("Jordan"): Gary M, Saretsky, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert C, and Eleanor T. Olson 95-00856 Name of Respondents Fahnestock and Co., Inc. Marc Andor Menton Bruce Kurchack Paul Chropuvka CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1995, Claimants, Robert C. and Eleanor T. Olson, who appeared Pro Se, alleged t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven C. Schapira 95-00853 Name of Respondent National Discount Brokers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1995, Claimant Steven C. Schapira, who appeared Pro Se, alleged that Respondent National Discount Brokers, failed to fully execute a trade that he had r