N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05879 Lane H. Judson, Jr. and Patsy D. Judson, claimants vs. Nita Sell and Theodore Taylor, Jr., respondents. ATTORNEYS: Claimants appeared Pro Se. - Tacoma, WA. For Respondents appeared Janet T. Epstein, Esq. - San Francisco, CA. DATE FILED: 12/17/98 CASE SUMMARY: Claimants alleged improper broker supervision, soliciting trades against claimants' best

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05876 Kurt Markstein, claimant vs. Paul Christopher Schemitz, Arnold Roseman and Biltmore Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Berkeley, CA. For respondents appeared William Nortman, Esq. - Fort Lauderdale, FL. DATE FILED: 12/17/97 CASE SUMMARY: Claimant alleged omissions of facts, high pressure sales tactics, failure to

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Firouz D. Memarzadeh and Farah R. Memarzadeh, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Albert Staerkel, Respondents. Case Number: 97-05875 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Robert C. Rosen, Esq. Efrat Levy, Esq. Rosen & Associates Los Angeles, California For Respondents: David B. Pendarvis, Esq. Gibson, Dun

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant TISO International, Inc. and 97-05873 Name of Respondent Prudential Securities, Inc. James Bailey REPRESENTATION OF PARTIES TISO International, Inc. ("Claimant") was represented by William D. Nelson, Esq., Slivka Robinson Waters & O'Dorisio, Denver, Colorado. Prudential Securities, Inc. ("Respondent Prudential") and James Bailey ("Respondent Bailey") (c

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jon S. Durand and Ginger Lynn Durand, Claimants v. Charles Schwab & Co., Inc. and Peter A. San Filippo, Respondents Case Number: 02-03707 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Douglas S. Dunham, Esq. Crane Dunham PLLC Seattle, Washington For Respondents: Gregory M. Scanlon, Esq. Charles Schwab & Co., Inc. San Francisco,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley F. Lorencki and Margaret H. Lorencki, individually and as Trustees for the Lorencki Trust, Claimants v. Morgan Stanley Dean Witter, Inc., Respondent Case Number: 02-03706 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimants: Stanley F. Lorencki In Propria Persona and as attorney-in-fact for Margaret H. Lorencki Medford, Oregon For Respondent: Ri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dorothy Curhaa, Claimant v. Royal Alliance Associates, Inc., Respondent Case Number: 02-03704 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David Harrison, Esq. Spivak & Harrison, LLP Los Angeles, California ( For Respondent: Louis H. Castoria, Esq. Elizabeth J. Schueller, Esq. Wilson Elser Moskowitz Edelman & Dicker San Francisco,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: RAMACHANDRAN MURALIDARAN, Individually and as Trustee of the RAMACHANDRAN MURALIDARAN TRUST U/A DTD 01/26/95, Claimant v. MERRILL LYNCH, PIERCE, FENNER AND SMITH INC. And ANDREW C. ANAGNOSTOU, Respondents Case Number: 02-03696 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02788 Global Capital Markets, LLC, Claimant vs. Kyle Mueller, Respondent. ATTORNEYS: Claimant appeared through Michael S. Finkelstein, a sole practitioner, Garden City, NY. Respondent did not respond to the Statement of Claim. DATE FILED: June 30, 2000 CASE SUMMARY: Claimant alleged that Respondent breached his contract and failed to repay the balance due on the promissory note.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Rohini Angra and Satish Angra Name of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Paul A. Pagnato, Jr., The Pagnato Group, Jason H. Lewis, and Frank Frazier Case Number 02-03695 Hearing Site: Washington, D.C. Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Rohini An