Award NASD In the Matter of the Arbitration Between: Names of Claimants Henry Roberson and Mary Roberson Name of Respondent Charles Schwab & Co., Inc. Case Number: 02-01942 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Henry Roberson and Mary Roberson ("Claimants"): Jeffrey Erez, Esq., Sonn & Erez, Fort Lauderdale, Florida. For Charles Schwab & Co, Inc. ("Respondent"): Neil B. Solomon, Esq., Greenberg Traurig, West Palm

V Award NASD In the Matter of the Arbitration Between: Name of Claimant First Union Securities, Inc. Name of Respondent Michael Maxwell Case Number: 02-01941 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For First Union Securities, Inc. ("Claimant"): Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. Michael Maxwell ("Respondent") pro se. CASE INFORMATION Statement of Claim filed on or ab

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the First Union Securities, Inc. (n/k/a Wachovia Securities, Inc.) 02-01940 Thomas A. Scanlon ng Siftv Philadelphia, PA Claimant, First Union Securities, Inc., n/k/a Wachovia Securities Inc., ("First Union"), hereinafter referred to as "Claimant", was represented by Jonathan E. Levine, Esq., Law Office of Daniel S. Fione, Arlington, VA. i Respondent, Thomas A.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01935 IRA FBO Gloria S. Rumph, claimant vs. James Blair, respondent. ATTORNEYS: Claimant appeared pro se, Homewood, AL. For Respondent appeared John M. Chrisenson, Esq., in-house counsel for Cuna Brokerage Services, Inc., Madison, WL DATE FILED: April 2, 2002 CASE SUMMARY: Claimant alleged that respondent failed to disclose information and misrepresented facts regarding the investmen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David K. Chow and Sui Chow, (Claimants) vs. Gilford Securities Inc., (Respondent) Case Number: 00-02553 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, David K. Chow ("D. Chow") and Sui Chow ("S. Chow"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, Gilford Securities Inc., hereinafter referred to as "Respondent": Micha

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas A. Page vs. Andrew Garrett, Inc., John McHoui, Jr., Joseph X. Loftus, Jr., Brian J. Zimmerman, and Andrew G. Sycoff Case Number: 00-282 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Thomas A. Page ("Page"), hereinafter referred to as "Claimant": Anthony V. Trogan, Esq., West Bloomfield, Michigan. Respondents, Andrew Garrett, Inc., Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert N. Loud, individually and derivatively on behalf of Olympus Partners, L.P., and Mehriz General Trading L.L.C., derivatively on behalf of Olympus Partners Fund, Ltd., (Claimants) v. March D. Schild, and Schild Asset Management, Inc., (Respondents) v. Robert N. Loud, (Counterclaim Respondent) and Sanford Perlin, (Third Party Respondent) Case Number: 02-01931 Hearing Site: N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Laverne Waldron and Terry Ann Waldron, Claimants v. Frank Hankins, Sergio Bohon and Morgan Stanley DW Inc., Respondents Case Number: 02-01928 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants Richard Laverne Waldron ProSe Anaheim, California For Respondents: Ronald E. Wo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-01926 George Kastrinakis Roblin Kastrinakis Names of the Respondents Hearing Site: Boca Raton, Florida SG Cowen Securities Corp. Lehman Brothers, Inc, Michael Levas REPRESENTATION OF PARTIES For George Kastrinakis and Roblin Kastrinakis, hereinafter collectively referred to as "Claimants": Richard B. Warren, Esq., Kel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01922 Robert Kaiser, claimant vs. Bane of America Investment Services, Inc., respondent. ATTORNEYS: For Claimant appeared Joseph F. Kyle, Esq., Las Vegas, NV. For Respondent appeared Bryce K. Kunimoto, Esq., of the firm Hale Lane Peek Dennison & Howard, Las Vegas, NV. DATE FILED: April 2, 2002 CASE SUMMARY: Claimant alleged that respondent failed to rescind a trade and charged claima