NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION* ESC, CASE: 01-05442 Joseph. E.A. Council, Jr., cMniant vs. Charles Scfrwab & Co., Inc., respondent, ATTORNEYS: Claimant appeared pro se, Jfompano Beach, FL. For Respondent appeared n^aouse counsel, Robert K. Crowe, Esq., San Francisco, CA. DATE FILED: October 15 J 2001 Claimant contended that the CASE SUMMARY: Clambni alleged that respondent issued stop orders in his account on shares of Com

Finra FINRADR In the Matter of Arbitration Between .Case; Albert R. Steward. Ill v. H&R Block Financial Advisors, Inc. Docket: 2007-016773 Attorneys: For Claimant(s)i Albert Steward. Ill - New York, NY For Respondent(s)t Lisa I'ildes - New York, NY Date Filed: 5/29/2007 First Scheduled: 3/13/2008 Decided: 10/21/08 Case Summary: Customer Claimanr alleges breach of fiduciary duty, violations of sections of the Uniform Commercial Code, v

\TTONAL ASSOCIATION OF SECURITIES DEALERS .1 the Hatter of the Arbitration Between Larry L. Brijaer Claijiiant(s) vs. First Wachovia Brokerage Service Corp. Respondent(s) NOTICE OF ARBITRATION AHARD 89-00571 CASE SmUART Claimant (s) Larry L. Brimer alleged that Respondent (s) First Wachovia Brokerage Service Corp. negligently mishandled Claimant's account with Respondent. Respondent(s) denies Claimant's allegations and counterclai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05441 Vincent A. Gennaro and Karen G. Gennaro, Claimants vs. Christopher M. Winton, Respondent. ATTORNEYS: Claimants, Vincent A. Gennaro and Karen G. Gennaro ("Claimants"), appeared pro se, through Vincent A. Gennaro, Purchase, NY. Respondent, Christopher W. Winton, ("Respondent"), appeared through PaineWebber, Inc.'s Corporate Vice President and Associate General Counsel, John E. Jenk

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chrisanthos Intzeyiannis and Eva Intzeyiannis, (Claimants) vs. Josephthal & Co., Inc. and Petros Zissimos, (Respondents) Case Number: 01-05440 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Chrisanthos Intzeyiannis ("C. Intzeyiannis") and Eva Intzeyiannis ("E. Intzeyiannis"), hereinafter collectively referred to as "Claimants": David Arens, Esq., a sole practi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05438 Curtis W. Lee, MD, claimant vs. Continental Broker-Dealer Corp. and Sam Cataldo, respondents. ATTORNEYS: Claimant appeared pro se, Hilo, HI. For Respondents appeared Dominick M. Bianco, Chief Compliance Officer, Carle Place, NY. DATE FILED: October 15, 2001 CASE SUMMARY: Claimant alleged that respondents purchased shares of Budget Group Inc. without his authorization. Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05436 George M. Wyman, claimant vs. Steve N. Guidry, Jr. a/k/a Guy Guidry & First Union Securities, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Durham, NC . For Respondents appeared Michael A. Gross, Esq., of the firm Ulmer & Berne LLP, Cleveland, OH. DATE FILED: October 15, 2001 CASE SUMMARY: Claimant alleged that respondents provided unsuitable investment advice

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITrES DEALERS In the Matter of the Arbitration Between Miimenf Claimants ( instance & Damian Martino Name ^f Respondents Josepii Steven*; & Company, L.P. A.S. (rf)ldmen & Co.. Inc. Daniel Maz7.otta diaries Raspa REPBESBNTATIQN For Claimants, Constance & Damian Martino, appeared Brian Guillorn, Esq. from the Law Offices of Cathy Rocklen, P.C. located in New York. New York. For Respondent. Joseph

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05432 Gregory and Katherine Belknap, claimants vs. J.B, Oxford & Company and John Battista Sacco, respondents. ATTORNEYS: Claimants appeared pro se, Wrightwood, CA. For Respondent appeared Cynthia M. Schleindl, from the firm Miller Milove & Kob, San Diego, CA. DATE FILED: October 15, 2001 CASE SUMMARY: Claimants alleged that respondent, John Battista Sacco, negligently handled

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Albert Kubrick Case Number: 01-05424 Names of Respondents Morgan Stanley DW, Inc. Edward Scarp Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimant Albert Kubrick was represented by Stephen M. Dranoff, Esq., Dranoff-Perlstein Associates, and Nicholas J. Guiliano, Esq., Attorney at Law, Philadelphia, Pennsylvania. Respo