NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charles Schwab A Co., Inc. vs. Preetinder Hundal and Nishan Hundal Claimant/ Counterrespondent ) Case #88-01641 ) #88-01657 ) (Consolidated Cases ) Award ) Respondent Counterclairnant Heard before the members of the Arbitration-Panel: Oi April 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in s

FINAL ORDER NASD Regulation, Inc. OfiBce of Dispute Resolution In the Matter of the Arbitration Between WiUiam G. Noble, Jr., Claimant, and Cohig & Associates, Inc. and Richard J. Lawrence, Respondents, In the Matter of the Arbitration Between Juanita H. Noble and William G. Noble, Jr., Claimants, and Cohig & Associates, Inc. and Richard J. Lawrence, Respondents, In the Matter of the Arbitration Between Noble I & Associates, L.

FINAL ORDER NASD Regulation, Inc. OfiBce of Dispute Resolution In the Matter of the Arbitration Between William G. Noble, Jr., Claimant, and Cohig & Associates, Inc. and Richard J. Lawrence, Respondents, In the Matter of the Arbitration Between Juanita H. Noble and William G. Noble, Jr., Claimants, and Cohig & Associates, Inc. and Richard J. Lawrence, Respondents, In the Matter of the Arbitration Between Noble I & Associates, L

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between: HUGH T. BURNS, Claimant, v. OPPENHEIMER & CO., INC., Respondent. Consolidated with WILLL\MJ.FUESS, Claimant, '• ^ OPPENHEIMER&CO.,ING. - Respondent. © National Associauo.Tot SecunuesDcaJersJnc All Rights Reser^'ed CONSOLIDATED CASES NO. 9503307 and NO. 95-03308 RKPRFiiRNTATION OF PARTIES Claimants Hug

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paul Satish K. Dawar, Claimant, v. Olde Discount Corporation and Jerry Allen, Respondents. Sushil K. Dawar, individually and under power of attorney for Sunjay Dawar, Claimants, Olde Discount Corp. and Jerry Allen, Respondents. No. 95-03147 Consolidated with No. 95-01268 REPRESENTATION OF PARTIES Claimants Paul Satish K.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joyce Keiles Milton Keiles 95-02334 (consolidated with #95-02338) Halpen Sc. Company Robert Hsbet ATION For Claimants Joyce and Milton Keiles (collectively referred to as Claimants) appeared James E. Stahl, Esq. of the law firm Borrus, Goldin, Foley, Vignuolo, Hyman, & Stahl, P.C, located in Nortii Bmnswick, New Jersey.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimants Sterling Computer Svcs. Profit Sh. Plan Roman J. Sterlin Marie H. Sterlin Roman J. & Marie H. Sterlin, JTWROS 95-01102 (consolidated witii 95-01104, 95-02315 and 95-02335) Name of Respondents Joseph Principe Dean Kajoms Berkeley Securities Corp, REPRESENTATION For Claimants Sterling Computer Svcs. Profit Sh. Plan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sterling Computer Svcs. Profit Sh. Plan Roman J. Sterlin Marie H. Sterlin Roman J. & Marie H. Sterlin, JTWROS 95-01102 (consolidated with 95-01104, 95-02315 and 95-02335) Name of Respondents Joseph Principe Dean Kajorus Berkeley Securities Corp. REPRESENTATION For Claimants Sterling Computer Svcs. Profit Sh. Plan

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00602 Alan T. Kessler Standard IRA , claimant vs. PaineWebber, Inc. and James Engel, respondents. ATTORNEYS: Claimant appeared Pro Se. - Bedford Hills, NY. For Respondents Appeared Hector Becil, Esq. - Weehawken, NJ. DATE FILED: 2/17/98 CASE SUMMARY: Claimant alleged misrepresentation on IRA. Claim Data Award Data Claim: $4,158.96 Award: $2,578.00

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Smith Barney, Inc. Steven Lewis Sellman Case Number 94- 05118 (consolidated with 95-00193, 95- 00779, 94-05373 and 95-02297) Name of Respondent Haipert and Company, Inc. fATION For Claimants Smith Bamey, Inc., Steven Sellman, Ronald Triefler, Michael Lidierman, Raymond Sammak, Sean Davis and Alan Gudz, appeare