NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of cie Aroitration Between •Arpad Soo -laimanr -\WARD vs . :iASD =90-0lfJ89 Douglas L. Shearer Eugene W. Ochalek Aivin Stein .Respondents REPRESENTATION Claimant represented himself -and Respondents were represented by Lisa .Anne Labonte-Hickey, Esq., Associate General .:ounsei at Fruaentiai Securities, Inc. SUMMARY OF ISSUES This case was filed with the Nationa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04530 Tamboli Family Limited Partnership Dr. Hoshedar Tamboli Names of the Respondents Hearing Site: Tampa, Florida Prudential Securities, Inc. Syed Hasan Habib Dennis Charles Ledbetter REPRESENTATION OF PARTIES For Tamboli Family Limited Partnership and Dr. Hoshedar Tamboli, hereinafter referred to as "Claimants": Robert Bertsc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: WiUiam Adin and Stq)hanie Adin Susan L. Henry, James D. Stoeger, Michael Harold Heray; BSI Participations Trust; and BSI Financial Services, Inc. Consolidated with: Max Sklower Bluebonnet Securities, Inc.; Michael Harold Hemy, Susan L. Henry; Paul Ray Wimberly, and Wimberly Investments Casp Number: 00-02683 PagpTSJiimW 00-03028 •NTaTTiP! nf thp riaimaTit Ms

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04529 Elizabeth Nenycz Names of the Respondents Hearing Site: Tampa, FL Bank of America Investment Services, Inc. Scott D. Krause Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elizabeth Nenycz, hereinafter referred to as "Claimant": Nicholas J, Taldone, Esq., Clearwater, FL. For Ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Javier Rodriguez-Andia (Claimant) v. Citicorp Investment Services (Respondent) Case Number: 02-04526 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Javier Rodriguez-Andia ("Andia") hereinafter referred to as "Claimant": Fernando Koatz, Esq., Gleason & Koatz, New York, NY. Respondent Citicorp Investment Services ("CI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carin Cirino (Claimant) v. A.G. Edwards & Sons, Inc. and Paul Leahy (Respondents) Case Number: 02-04525 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Carin Cirino ("Cirino") hereinafter referred to as "Claimant": Joseph Aufenanger, Esq., Garden City, NY. Previously represented by: Joseph Aufenang

7'm- BEFORE THE NATIONAL ASSOCIATION OF SECURITY DEALERS, INC Irt the Matter of Arbitration Between WILLIAM B. MANDEVILLE, a/k/a WILLIAM BEN MANDEVILLE AND ANNABELLE MANDEVILLE, individually and as CO­ TRUSTEES of the WILLIAM B. MANDEVILLE AND ANNABELLE MANDEVILLE REVOCABLE FAMILY TRUST DTD DECEMBER 24, 1992, and CYNTHIA A. MANDEVILLE, Claimants, vs FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.; and JOHN FRANCIS EBY, Respondents.

AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant David Elkinson Case No. vs. 96-01709 Name of Respondents Todd M. Rosenzweig REPRESENTLATIQN For Claimant, David Elkinson ("Claimant"), Larry Field, Esq. from the firm of Posternak, Blankstein Si Lund, L.L.P, located in Boston, Massachusetts. Respondent, Todd Rosensweig ("Rosensweig '), located in Lake Success, New Yorlc. Refer to "Other Issues conside

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Christopher M. Wilson, Claimant. V. No. 96-0 1148 FBS Investment Services, Inc., Respondent. ^' National Association of Securities Dealers, inc. AI] Rights Reserved REPRESENTATION OF PARTIES Claimant Christopher M. Wilson was represented by Donald Horton, Esquire and Malcolm P. Terry, Esquire of Horton and Associates located in Minn

N.A.S.D. REGULATION. INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Ralph Giugliano Name of Respondent MDS Securities, Inc. 96-04167 REPRESENTATION For Claimant appeared Richard S. Mandaro, Esq., from the law firm of Congdon, Flaherty, O'Callaghan, Reid, Donlon, Travis & Fishlinger. For Respondent appeared Paul M. Brown, Esq., from the law firm of Parson & Brown. CASE INFORMATION State