N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernat Katz 95-00759 Name of Respondents Met Life Securities, Inc. John J. Mull in CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimant, Bernat Katz, who appeared Pro Se, alleged that Respondents, Met Life Securities, Inc. ("Met") and John J. Mullin ("Mullin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bill G. and Wanda Annette Cariker 95-00757 Name of Respondents Olde Discount Corporation Christopher McDonald CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimants Bill G. and Wanda Annette Cariker ("Claimants"), who appeared Pro Se, alleged that Respondents Old

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jay Polonsky 95-00753 REPRESENTATION For Claimant Jay Polonsky ("Claimant") appeared Gerald A. Kaufman, Esq., New York, New York. For Respondent Arthur Bergen ("Respondent") appeared Edmund S. Purves, Esq. of the law firm Clifford, Gelband & Purves located in Larchmont, New York. CASE INFORMATION The Statement of Claim was file

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hill A. Robertson Name of Respondents Fidelity Brokerage Services, Inc. Cole Sawyer 95-00747 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1995, Claimant, Hill A. Robertson, who appeared Pro Se, alleged that Respondents, Fidelity Brokerage Services, Inc. ("FES") and

NASD Regulation Award NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Tharrenos J. and Virginia M. Papavasiliou 95-00737 Name of Respondents GKN Securities, Corp. Rajoo Sharma REPRESENTATION For Claimants Tharrenos J. and Virginia M. Papavasiliou ("Claimants"): Peri Erlanger, Esq. of the law firm of Bernstein & Wasserman, LLP, New York, NY For Respondents GKN Securities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stonewall Farms, Ltd. Robert Barsk 95-00733 Name of Respondents Stratton Oakmont, Inc. Daniel Porush Jordan R. Belfort Kenneth Greene Mark Urban David Heredia REPRESENTATION For Claimants appeared Timothy J. Dennin, Esq. of New York, New York. For Respondents Stratton Oakmont, Inc., Daniel Porush, Jordan R.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between G'i" Estate of Ruth O'Neill Burnett Case No. 00-03915 Names of Respondents Franklin Templeton Investor Services, Inc. Franklin Resources, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For the Estate of Ruth O'Neill Burnett (the "Estate"), hereinafter referred to as "Claimant": John Burnett, Esq. of Mohip & Burnett, P.A., St. Petersburg, FL and Bren

02^10/2004 13:03 FAX NASD REGULATION EH002/OQ8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas C. Evans (Claimant) v. Roan-Meyers Associates, LP (Respondent) Case Number: 02-04785 Hearing Site: New York, New York Nature of the Dispute; Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Douglas C. Evans ("Evans") hereinafter referred to as "Claimant" appeared pro se. Respondent Roan-Meyers Associates,

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE:02-04782 Avalon Partners, Inc., claimant vs. Alexander Williams, respondent. ATTORNEYS: Claimant, Avalon Partners, Inc. appeared through its President, Vincent Au, New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: August 14, 2002 CASE SUMMARY: Claimant alleged that respondent failed to indemnify claimant for damages resulting from arbitration pursuant t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee J. Twomey and Jason Twomey (Claimants) v. Bane of America Securities, LLC (Respondent) Case Number: 02-04778 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimants, Lee J. Twomey ("L. Twomey") and Jason Twomey ("J. Twomey"), hereinafter collectively referred to as "Claimants": J. Allen Holland, Esq., Lynch,