Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hugh BamdoUar, Jr., Claimant v. Richard D. Koehler, Jr. and Michael C. Heimbach, Respondents Case Number: 00-01734 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Hugh Bamdollar, Jr., hereinafter referred to as "Claimant": Burton W. Wiand, Esq. and Maya M. Wolfe, Esq. of Fowler White, Gillen, Boggs, Villareal and Banker, P. A., Tampa, Florida. For

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03102 William H. Durham, M.D. Names of the Respondents Hearing Site: New Orleans, Louisiana Merrill Lynch Pierce, Fenner & Smith, Inc. Henry Blodget Justin Batdauf Kirsten Campbell Virginia Syer Genereux Sofia Ghachem Edward McCabe Deepak Raj Phua K. Young Fund Asset Management, L.P. Nature of the Dispute: Cu

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Salvatore Moscato, Jr., (Claimant) vs. The Golden, Lender Financial Group, Inc., Aron Bronstein, Tomer Yuzary, and losif Pak, (Respondents) Case Number: 98-00660 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Salvatore Moscato, Jr., hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Harold J. Ruvoldt, Jr., Esq., Fischbe

12/06/99 MON 14:08 FAX NASD REGULATION El 002 iJpc-QG-99 1MB From-HMSC - ' +313-y52-OT75 T-Z33 P.02/04 F-7D7 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Maner of ihe Arbitration Between Max Drew and Sara Drew, Claimants, No, 97-03262 v. Qlde Discount Corporation, Larry B. Lessley and Michasl Alhrecht, Respondents. REPRESENTATION OF PARTIES Claimants, Max Drew and Sara Drew, ("Claimants") were represented by Manhew

NASD DISPUTE RKSOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05500 Laurence Pilgeram, Ph.D, claimant vs. Bamey Bamato, respondent. ATTORNEYS: Claimant appeared pro se, Goleta, CA. For Respondent appeared Alvin, L. Fishman, Esq., Tesler, Sandman & Fishman, San Francisco, CA. DATE FILED: September 16. 2002 CASE SUMMARY: Claimant alleged that respondent misrepresented and failed to disclose information regarding delinquencies on bonds that had been

NASD REGULATION, INC. 1 AWARD In the Matter of the Arbitration Between Name of Claimant The Thornwater Company, L.P. 97-03258 Name of Respondent James M. Canton REPRESENTATION For The Thornwater Company, L.P. ("Claimant") appeared Michael Dougherty, Compliance Officer of The Thornwater Company, L.P. Jason M. Canton ("Respondent") appeared pro se. CASE INFORiMATION Claimant's Statement of Claim was filed on June 19, 1997. Clai

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Thornwater Company, L.P. (Claimant) vs. Adam Demario, (Respondent) Case Number: 97-03256 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Thornwater Company, L.P., hereinafter referred to as "Claimant": Eric Rosenberg, Esq., Zevnik Horton Guibord McGovern Palmer & Fognani, LLP, New York, NY. Previously represented by: Dominick J. Porto, Esq., a sole

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc. Claimant v. John P. Burke, Jr., Respondent Case Number: 00-02082 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Ronald P. Kane, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: John D. Hudson, Esq. Williams, Blackburn, Hudson & Maharry, P.L.C. Des Monies, Iowa CASE INFORMATION Statemen

N.A.S.D. REGULATION, INC. AWARD CASE: 97-03255 The Thornwater Company, L.P., claimant vs. James Cleary, respondent. ATTORNEYS: For claimant appeared Dominick J. Porto, Esq. - New York, NY. Respondent did not appear. DATE FILED: 6/30/97 CASE SUMMARY: Claimant alleged breach of employment agreement. Claim Data Award Data Claim: $4,944.58 Award: $4,944.58 Interest: Requested Interest: 10 % from 6/30/97 to 12/31/97 Filing Fees: $.00 Filing F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Philip M. Essig, Claimant, v. No. 97-03253 First of Michigan Corporation, and H. David Zucca, Respondents. REPRESENTATION OF PARTIES Claimant Philip M. Essig ("Claimant") was represented by David M. Black, Esq. of Sommers, Schwartz, Silver & Schwartz, P.C. located in Southfield, Michigan. Respondents First of Michigan Corporation and H. Davi