Arbitration No. 96-05645 MhSn NASP REGUIATIOW. INC, In the matter of the Arbitration Between Name of Claimant (s) Kevin Blanch Name ot Resppndent{s) Charles Schwab & Co., Inc. RBPRJBSBMfTATION For Claimant: Ronald F. Price, Esq., Foster & Foster L.C., Salt Lake City, Utah For Respondent: Steven Lanum, Esq., Charles Schwab & Co., Inc., San Francisco, California CASE IWOWUMHQ^ Statement of Claim filed: December

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter ofthe Arbhrati(ni Between Name of Claimant NeetaN.Shah 96-02147 Interstate/Johnson Lane A. Todd Hunnicutt For Clahnant, Neeta N. Shaw ("Claimant"), appeared Robui M. Jotesoo, Esq. and Mhchell Willougbby, Esq., ofthe law firm Willoughby & Hoefer located in Columbia, South Carolina. For Respondent, Interstate/Johnson Lane ("UL"), appeared in-house counsel, Pamela P. Wamement, Esq.

N.p. ii.L" AWARD NATIONAL ASSOCIATION OF SEOJRiTtFS DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Mary and Max Kaplan 95-04002 Na^T1e nf B|ft^Dondent(s) A.G. Edwards & Sons, Inc. < ;^AffE SVMMAyY In a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1995 Qaunants Mary and Max Kaplan, who appeared Pro Se, alleged diat Respondent A.G. Edwards & Sons Inc. mishandled dieir accoum when it s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Maner of the Arbitration Between Name of Claimant Roger Cioldstein 95-03982 Name of Resoondents National Financial Services Corp. Investex Securities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 18, 1995, Qaimant Roger Goldstein ("Claimant"), wte appeared Pro Se, alleged diat Respondents National Financial Ser

94-03731 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namg9fglaim8Bt5 Richard D. and Mary L. Oberlin NameofResnondent First of Michigan Corporation REPRESENTATION For Claimants: Richard D. Oberlm and Mary L. Oberlin ("Oberlin") were represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Pamell, located in St. Clair Shores, Michigan. For Respondent: Fust of Michig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nan^eyfg^imapt Peter A. Spinner 95-01545 Name of Respondents Aniello Gino Fabi Hanover Sterling & Co.,Ltd. CASE SUMMARY In a claim filed with the Nationai Association of Securities Dealers, Inc. on March 27, 1995. Claimant. Peter A. Spinner, who appeared Pro Se, alleged that Respondents, Hanover Sterling & Co., LTD ("Hanover") and Aniello G

N.A.S.D. VraVLKTBD AWARD NATIONAL ASSOCUTION OF SBCURtmS mBAUERS to tt^ Mrtier cntfiB AihradioB BetwMo ItlMiWeUier, Ine. 95-00613 Peter A. BnaamMl Por GWintot: StBvn M. OnMbBwii, Biq. of MMWOHMT, HOD, C< PW*). For BetpoadaDt Pator A. HmiMnimr ('amninid'O, BdwinB> Kuwu Big;. Tlmpa, BL. SWeowiitof Clilm AM: Mbfinxy 7,199S. CUmtiit*! SuboUMlOD Afieaowit ilgtMd onFBInuuy 3,1999 SltieaM^ of Aanw llled hy SsvoHlnti Bmn^^ llftilffiiifTm ^rrytH'f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, LNC: In the Maiter of the Arbitration Between Mame nf Claimant Tech Sales Company and 93-01643 Name of Respondents Hanover Sterling & Co., Ltd. and Raymond Frias REPRESENTATION OF PARTIES Tech Sales Company ("Claimant") was represented by Peter Edward Hermann of Tech Sales Company, Arlington, Texas. Hanover Sterling & Co., Ltd. ("Hanover") was represented by M. David Sayid, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitratioa Between Samuel Sokoloff 93-00268 Name of Respondent's^ Smith Bamey Harris Upham & Co., Inc. Eric L. .^>plewbite, m Howard Guggenheim REPRESENTATION Claimant, Samuel Sokoloff ("SokolofT'): Maitin J. Gofberg. For Respondents, Smith Bamey Harris Upham & Co. Inc. ("Smith Baroey"), Eric L. Applewhite, m ("Applewhite"), and Howard Guggenheim ("Guggenheim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-05066 Craig Babson-Smith ; claimant vs. Broadband Capital Management LLC, Michael Rapoport, Philip Wagenheim and Michael Rapp, respondents. ATTORNEYS: For Claimant appeared Stacey B. Babson-Smith, Esq., Westport, CT. For Respondents appeared Brian H. Reis, Esq., New York, NY. DATE FILED: June 26, 2001 CASE SUMMARY: Claimant alleged that respondents failed to pay claimant the forg