N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alan G. Day, Jr. CASE 97-03149 Name of Respondent Olde Discount Corporation REPRESENTATION Claimant Alan G. Day ("Claimant") was represented by Robert N. Winkler, Esq., Towson, MD. Respondent Olde Discount Corporation ("Respondent") was represented by Donald P. Wray, Jr., Olde Discount Corporation, Detroit, M

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. i i CASE: 97-03148 Mary H. Shaver, claimant vs. Olde Discount Corporation, respondent. ATTORNEYS: Claimant appeared Pro Se, Rochester, NY. For respondent, appeared in-house counsel, Lisa S. Fildes, Detroit, MI. DATE FILED: June 25, 199T CASE SUMMARY: Claimant alleged that respondent solicited her to buy Integrated Device Technology, Inc. stock on margin, withou

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03147 Frank Errico and Lorraine Errico, claimant vs. Kirlin Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Wanaque, NJ. Respondent appeared Pro Se, through it's Compliance Officer, Gerard Wolfe, Syosset, NY. DATE FILED: June 25, 1991. CASE SUMMARY: Claimant alleged that respondent misstated the terms and conditions of bonds. Claim D

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03136 Ignazio Alcamo, claimant vs. David Lerner Associates, Inc., and Douglas Albert, respondents. ATTORNEYS: Claimant appeared Pro Se, Forest Hills, NY. For Respondents appeared Ruthann G. Niosi, Esq., New York, NY. DATE FILED: June 24, 1997. CASE SUMMARY: Claimant alleged that he paid $11.00 per share when he purchased Cornerstone Realty Income Trust, In

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03135 Qing Feng, claimant vs, T L Group, Inc. and Robert Bellia, respondents. ATTORNEYS: For Claimant, appeared Douglas R. Lally, Esq., Jenkintown, PA. Respondent T L Group, Inc. appeared Pro Se, through it's Vice President, Eddie Lewis, Fort Worth, TX. DATE FILED: June 24, 1997. CASE SUMMARY: Claimant alleged that respondents breached their fiduciary duty

f" - N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03134 Dean W. and Mary L, Sheibley, claimants v. Chadwick Securities, Inc., Rob Zeiger and Joseph Brooks, respondents. ATTORNEYS: For claimants appeared Douglas R. Lally, Esq. - Jenkintown, PA. For respondent Chadwick Securities, Inc. appeared Howard Davis - Scottsdale, AZ. Respondent Rob Zeiger appeared pro se - Los Angeles, CA. Respondent Joseph

STPULATEB AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between CauJey Caldweii Claimant. v. "No. 97-03132 Dean Witter Reynolds, Inc.. aad John MscCoJL. Respoodeott. REPRESENTATION OF PARTIES .' Claimant Cauley ColtiweU ("Claimant") was represented by Elaine Cadis* Esq. of Detroit. . ^irs Michigan. . M^u Respondents Dean Witter Reynolds, Inc. aod John MacColl C'Respondents") were represented by

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert Clark Lindberg v. Name of Respondents Dean Witter Reynolds, Inc. and Richard Wright Arbitration No. 97-03131 REPRESENTATION For Claimant: For Respondent: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California Jay M. Cutler, Esq. Dean Witter Reynolds, Inc. San Franci

AWARD NASD Regulation. Inc. In the Matter of the Arbitration Between Partab Jeswani, Claimant, v. No. 97-03126 Darin Haines, and Investors Associates, Inc.. Respondents. REPRESENTATION OF PARTIES Claimant Partab Jeswani ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman Trogan Young & Schloss, P.C. located in Bingham Farms, Michigan. Respondent Darin Haines ("Haines") was represented by Dean J. Groulx. Esq. of Nine & Grou

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02074 First Union Securities, Inc. f/k/a Everen Securities, Inc., claimant vs. Andrew L. Vanzant, respondent. ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq. of the firm Kane & Fischer, LTD., Chicago, IL. Respondent appeared Pro Se., Vacaville, CA. DATE FILED: May 18, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay a promissory note issued on May 29,