AWARD NASD Regulation, Inc. Dispute Resolution In the Matter of the Arbitration Between John Susko, and Ann Susko, Claimants, Olde Discount Corp, Dan Mathias, and Andrew Siegel, No, 95-02654 Respondents, REPRESENTATION OF PARTIES Claimants John Susko and Ann Susko were represented by James A. Sigier, Esquire of Granada Hills, California. Respondents Olde Discount Corp., Dan Mathias, and Andrew Siegel were represented by Ina N. Otto, Es

AWARD NASD REGULATION, INC. In tiiie Matter of the Arbitration Between Name of Claimant Brian Corday Case No. vs. 95-05530 Name of Respondents D. Blech & Co., Inc. David Blech For Ciairriant. Brian Corday ("Claimant"), Howard Hertz. Esq., from the law firm of Hertz, Schram & Saretsky, P.C, located in West Palm Beach, Florida. For Respondents, D. Blech & Co., Inc. ("Blech") and David Blech ("Blech") (collectively "Respondents"), L. Van

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Betw^n Name of Claimant James Myzick 95-05692 Nifme of Respondents Matthew J. Hirsch Garvey W. Fox Jack Wolynez A.R. Baron & Co., Inc. For Claimant James Myzick ("Claimant"): Steven G. Storch, Esq. of the law firm of Storch Amini & Munres, P.C, Sterling, VA For Respondents Matthew J. Hirsch ("Hirsch") and Garvey W. Fox ("Fox")

6466256111 08:37:04a.m. 03-16-2015 1 /6 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Linda Feist 91-02798 Names of Respondents Donna G. Carlton, Carlton & Associates, Inc., VSR Financial Services, Inc., ManEquity, Inc., Intercap Financial Corporation, Carlton Financial Management (as successor corporation to Carlton & Associates, Inc.) RBPRgSBWTATIOW For Claimant at

646 625 6111 08:39:50a.m. 03-16-2015 1 /4 N.A.S.D, AM&HD NiOICmi* ASSOCIAnCV OF SBUUKIXXUS 0EAI£RS In the t&itter of the Azfaitxation Be^mm. najBie of daimmt Don Garcia i vs. 1 91-03073 ^aof HesDcsidBnta Shearson T.< av»wf»T> mrf-ixni. Xoa. David L. 'Sepgaa 1 4 For daimsnt: Ira Jbrmes Harris, Esq., Ziszgan, Miner & Blair, TfeOnut Creek, O'tlifgniift War ^JBepaoOeBtat Fhilip M^aod, Esq. and JUlle L. SoDoecville, Esq., Kee

646 625 6111 08:41:16a.m. 03-16-2015 1 /3 PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :n zhe Matter of the Arbitration Between Paragon Capital Corporation Claimant: vs. Bruce H- Rich Respondent CASE #91-03595 AHARD CASE SUy^MARY In a claim filed with the National Association of securities Dealers, Inc. on November 14, 1991, Claimant, Paragon Capital Corporation by and through their Compliance Officer, Vincent

646 625 6111 08:42:39a.m. 03-16-2015 1 11 ® Arbitration N.A.S.D. AR&RD NftnCKRL ASSOdftTICKT OP SidCUklTifcS DEIALERS In the Matter of the Adaitration Between Name of dalmRnt Gerard Klauer Mattison & Co., Inc. vs. Name of Respondent Jeffrey Barooks Securitzies, Ihc. National Asaocfatlon of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 case # 91-038

646 625 6111 08:36:21 a.m. 03-16-2015 1 12 PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Steven R. Keitel Claimant vs. Olde Discount Corporation Respondent CASE StJMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant, Steven R. Keitel, who appeared Pro Se, alleged that Respondent, Olde Discount Corporation failed to con

646 625 6111 08:33:47a.m. 03-16-2015 1 /4 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURIHES DEALERS In the Matter of the Arbitration Between Name of Claimants Klnuye Muraid/ Kinuye Mutaki & Joyce Makishima ^^O^^^TOAWARD Sutro and Compaay, Inc. POT Claimants: Jel^y M. Jones, Esq*, Law Office of Archibald M. Mull, m, Sacramemo, Califoniia For llespondems: Gerald W. Palmer, Esq., and Daniel D. McMillan, Esq., Jones, Day, Reavis &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimants Case. Number: 01-06409 Joan P. Husted individually and on behalf of her IRA Bridget A. Husted Name nf thp KftspnnHp.nts Hearing .Site: Washington, D.C. Advest, Inc. David R. Schaffer and Daniel J. Schaffer Nature of the Dispute: Customers vs. Member and Associated Persons. RF.PKF.SF.NTATTON OF PAKTTFS Claimants, Joan P. Husted individually and o