N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURFTIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mictiael Kanowitz 94-02654 NameofResDondents Hanover Sterling & Co., Ltd. Michael Smith CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 18, 1994, Claimant Michael Kanowitz, who appeared Pro Se, alleged that he purchased 800 shares of American Toys Inc. stock at $13.50 per sha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Detlev E. Hasselmann IRA, Claimant v. Prudential Securities Incorporated, Robert J. Palatella, and Brian D. Talgo, Respondents Case Number: 01-05144 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: G. Mark Brewer, Esq. Brewer & Carlson, LLP La Jolla, California For Respondents: Terry Ross, Esq. Keesal, Young & Logan Long Beach, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norma Alguadich Burhts and Albert Alguadich, (Claimants) vs. Morgan Stanley Dean Witter Inc. and Matthew E. Miller, (Respondents) and Albert Alguadich, (Claimant) vs. Morgan Stanley Dean Witter Inc., (Respondent) Case Number: 01-05143(consolidated w/02-03908) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Norma Alguadich Burhts ("Burhts") and Albert Alguad

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05141 Tak Shing Tarn, Claimant/Counterclaim Respondent, vs. Clark Street Capital, Inc., Respondent/Counterclaim Claimant. ATTORNEYS: For Claimant, Tak Shing Tarn ("Claimant"), appeared Pei Pei Cheng, Esq., of the Law Offices of Raymond H. Wong, P.C., New York, NY. For Respondent, Clark Street Capital, Inc., ("Respondent"), appeared Timothy R. Chandler, Esq., of the firm Burke, Jone

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph A. Lorini, (Claimant) vs. Salomon Smith Barney Inc., Sandy Briggs, and Susan Swift, (Respondents) Case Number: 01-05140 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ralph A. Lorini, hereinafter referred to as "Claimant": George L. Mahr, Esq., a sole practitioner, Madison, NJ. Respondents, Salomon Smith Barney Inc. ("SSB"), Sandy Briggs ("Briggs"), a

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. and . 00-1394 Phoenix, Arizona Name of Respondents Robert J. Brown, Jr. and Iris A. Brown REPRESENTATION OF PARTIES Charles Schwab & Company, Inc. ("Claimant") was represented by Richard A. Karoly, Esq., Charles Schwab & Company, Inc., San Francisco, California. Robert J. Brown, Jr. and Iris A. Brown ("Respondents"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: TRACK DATA SECURITIES CORPORATION -and- SOL MEYER CATHY MEYER Claimant, Respondents. Case Number: 01-05136 Hearing Site: New York. NY REPRESENTATION Claimant, Track Data Securities Corporation: Joseph F. Keenan, Esq., Me Canliss & Early, LLP, New York, New York. Respondents, Sol Meyer and Cathy Meyer, appeared pro se. CASE INFORMATION

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant BradStamm, Trustee for Santa Fe Cardiology Profit Sharing Plan and NASD Case Number: 94-03643 Name of Respondents Gnmtal & Company, Inc. Thomas B. Courtney REPRESENTATION OF PARTIES Claimant Brad Stamm, Trustee for Santa Fe Cardiology Profit Sharing Plan ("Claimant") was represented by H. Thomas Fehn, Esq., of Fields, Feh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Haxine Kutcher and Annina Skuja, et al. 94-03641 }ff,Y!(f "'*' Respondents Legg Mason Wood Walker, Inc Donald L. Lcmax REPRESENTATION Claimants Haxine Kutcher and Annina Skuja, personal representatives of the Estate of Annina c. Carozza, and individually ("Claimants") were represented by William N. Butler, Esq., Howard

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis Novak and Dolores Novak 94-03639 Name of Respondents Kemper Securities, Inc.; Joseph N. McDonough REPRESENTATION For Claimants: Louis Novak and Dolores Novak ("Novak") were represented by Joseph P. Kyle, Esq. of Kyle & Kyle, located in Las Vegas, Nevada. For Respondents: Ken:^}er Securities, Inc. ("Kemper") and Josep