Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert E.Leib Name nf the Respondent First Union Securities, Inc. k/n/a Wachovia Securities, Inc. Case Number; 00-00367 Hearing Site: Philadelphia, Pennsylvania RRPRKSKNTATION OF PARTTP.S Claimant Robert E. Leib, hereinafter referred to as "Claimant", was represented by Larry M. Keller, Esq., Sidkoff, Pincus & Green, P.C., Philadelphia, Pennsylva

^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Dean Witter Reynolds. Inc. \ 93-00937 Name of Respondent Panfilo Guglielmi REPRESENTATION For Claimant: Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Reggie C. Giffen, Esq. of Morrison & Hecker, located in Kansas City, Missouri. For Respondent: Panfilo Guglielmi ("Guglielmi") did not appear. CASE INFORMATI

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack D. Zeff 93-00936 Name of Respondents Biltmore Securities, Inc. Alex Barletta David J. Woodruff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1993, Claimant Jack D. Zeff, who appeared Pro Se, alleged that on August 14, 1992 he executed a new account f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rebha D. Piitt 93-00934 ^ Name of Respondents Prudential Securities, Inc. Rick S. Kirkinis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1993, Claimant Rebha D. Plitt, by and through her counsel Barbara K. Olson. Esq. of Dickenson, Murdoch, Rex and Sloan, Boca Raton

MAY i 9 j&'Or-i.'b N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack Kotkin and Kris Alter 93-00930 Name of Respondents Jim Skorton Pacific Southern Securities, Inc. Otra Clearing/Reynolds Kendrick Straton REPRESENTATION Claimants, Jack Kotkin ("Kotkin") and Kris Alter ("Alter") were pro se. Respondents, Jim Skorton ("Skorton") and Pacific Southern Securi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lloyd I. Edgerly 93-00922 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant: Morris J. Levin, Esq., a sole practitioner, Washington, D.C. For Respondent: Douglas P. Lobel, Esq. of Dechert Price & Rhoads, Washington, D.C. CASE INFORMATION Statement of Claim filed: March 9, 1993. Claiman

INDUSTRY N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard A. Rosenblatt & Company, Inc. Vs. Case #93-00917 AWARD Name of Respondent Aimco Securities Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1993, Claimant Richard A. Rosenblatt & Co.,Inc. by and through their counsel Zevie B. Schizer of Schiz

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wedbush Morgan Securities, Inc. 93-00915 Name of Respondent Joene Bone CASE SUfcffilARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1993, Claimant Wedbush Morgan Securities, Inc., through its representative Marie E. Eaton, alleged that Respondent Joene Bone entered into a loan agreeme

11.04.1994 17:40 P. 1 NASD AWARD Claimants Simon L. and Judith Cohen Individually and as Cust6dians for the accounts of Erica Cohen and Adam Cohen Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David Sanford Case Number 93-00910 REPRESENTATION For Claimants, Simon and Judith Cohen, Individually and as Custodians for the accounts of Erica Cohen and Adam Cohen ("the Cohens"): Lloyd Schwed, Esq. of Carlson Bales & Schwed,-

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03584 Charles Schwabi& Co., Inc., Claimant vs. William D, Brewer, Respondents, ATTORNEYS: Claimant appeared through Edmund V. Saucedo, Office of Corporate Counsel, San Francisco, CA. Respondent appeared Pro Se, Tupelo, MS. DATE FILED: August 17, 2000 CASE SUMMARY: Claimant alleged that Respondent placed a market order of 6,000 shares of Lotsoff Corp. Without the requisite funds