Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01 -05664 Henry A. Pickard Name of the Respondent Hearing Site: Chicago, Illinois Bill William Kopecki, Jr. REPRESENTATION OF PARTIES Claimant Henry A. Pickard ("Pickard") was pro se. Respondent Bill William Kopecki, Jr., ("Kopecki") was pro se. CASE INFORMATION Statement of Claim filed on or about: October 23, 2001 Claimant, P

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05662 Stanley Kopelman Roth/IRA, Barbara Kopelman Roth/IRA, Barbara Kopelman Revocable Trust, Barbara Kopelman and Stanley Kopelman, co-trustees, and Stanley Kopelman Revocable Trust, Stanley Kopelman and Barbara Kopelman, co-trustees Name of the Respondent Hearing Site: Boca Raton, Florida UBS/PaineWebber, Inc. REPRESENTATION OF PARTIES For Stanl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alvin C. Berger and Lois B. Berger, JTWROS, Claimants vs. LaJolla Capital Corporation and Michael James Dzurko, Respondents. Case Number: 98-00325 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants Alvin C. Berger and Lois B. Berger, JTWROS, hereinafter referred to as C'Claimants") represented themselves. Respondents LaJolla Capital Corporatio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Glenda G. Callanen 94-00588 NameofResnondent California One Investments CASE SUMMARY In a clum filed with the National Association of Securities Dealers, Inc. on February 16,1994, Claimant Glenda G. Callanen, who appeared Pro Se, alleged that Respondem California One Investments failed to pay commissions to her for a number of

NASD AWARD NATIONAL ASSOCUnON OF SECURTTDsS DEALERS, INC. In the Mader of the Aitntration Between Namp. nf riaimant Kemper Securities, Inc. and 94-00562 BientSuen mmnpsvNTATmv nv PAWTTPS Kenver Securities, Inc. CCIsimanf) was represented by Michad A. Kraft, Esq. Siegan Baibalmff Gomberg & Kane, Ltd., Chicago, UUnois. Brent Suen (Itespondent') was represented by P. Michael Armstxong, Esq., Dallas, Tents. rASRTNBnPMATfOM The Statement

NASD REGl L.VnON. INC.. OFFICE OF DISPl)TE RESOLITION In the matter of the Arbitration Between JOHN VI DA and Claimant, EVFREN SECURITIES INC. and JOSEPH ZAWISTOWSKI Respondents REPRESENTATION Case No. 98-01334 STIPl LATED AWARD For Claimants: Blake Weston, Esq. 2330 Twcntv-Second Street Sun Francisco, CA 94110 For Respondents: Peter R. Boutin, Esq. Keesal, Young « & Logan Four Embarcadero Center, Suit

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Louise R. Andrews, individually arid as TTEE Louise R, Andrews Trust U/A/D 11-17-92 and 01-05659 Phoenix, Arizona Name of Respondents Salomon Smith Barney, Inc. Gregory T. Petriekis REPRESENTATION OF PARTIES Louise R. Andrews, individually and as TTEE Louise R. Andrews Trust U/A/D 11-17-92 ("Claimant") was represented by Michael Salcido, Esq. Rena

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William R. Walters, Claimant vs. Linsco/Pnvate Ledger Corp. and Peter Murphy Wright, Respondents. Case Number: 00-01420 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant William R. Walters, hereinafter referred to as "Claimant": Gary I. Grenley, Esq., Grenley, Rotenberg, Evans, Bragg & Bodie, PC, Portland, OR. Respondents Linsco/Private Ledger Corp. and

Award NASD Dispute Resolution In the Matter of the Arbitration between: Name of the Claimant Case Number: 01-05657 Martin Matus Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. REPRESENTATION OF PARTIES For Martin Matus ("Matus"), hereinafter referred to as "Claimant": Darren C. Blum, Esq. and Scott L. Silver, Esq, Law Office of Darren C. Blum, Plantation, Florida. For Morgan Stanley DW, Inc. ("MSDW"), hereinafter

Finra HNRADR In the Matter of Arbitration Betn'cen Case: Oppcnhcinicr & Co. Inc. f/k/a Fahnestock & Co. Inc. v. Michael A. Sassano III Docket: 2004^ 1S814 Attorneys: For Claimant(s): Theodore Snyiier, Michael J. McAllister - New York, NY For Respondent(s): Mitchell Cohen, James Hiler - New York, NY Date Filed: n/04/2004 First Scheduled: n/14/200S Decided: 11/05/2008 Case Summary: (. -laimant, a Member firm, alleges Respondent, a former emplo