N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas J. Kalinowski 94-04856 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1994, Claimant Thomas J. Kalinowski ("Claimant"), who appeared Pro Se, alleged that Respondent Thcmus James Associates, Inc. ("TJA"), through its

N.A.S.D. ANARD FWTIONKL ASSCriKTICN OF SBCUBITIES CEKI£RS In the Matter o£ the Acbitxatijon Between Wisson Solh 90-00918 Advest, Inc. Daniel J. Wlxted Haaxd befoie: None Fublic/lndaBtiy Oavid A. Lipton Public Arbitrator Michael FlachBtti Public Aibitrator Judith A.W. Ftenris Industry Aibitrator ClAinant Hiseam Solh ("Claimant") alleged that ReBpondent Daniel L. Wlxted CVixted") leocRnended a series of iitveaUiBiita for Claimant that

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Lillian Jarvis 95-06103 Name of Respondents Smith Bamey Shearson. Inc. Lehman Brothers, Inc. Marlane Buckner Claimant Lillian Jarvis ("Claimant") was repiesenced by Alexander R. McMuIlen, Esq., McMuUcn & Drury, Towson, MD. Respondents Smith Barney Shearson, Inc. ("SBS") and Lehman Brothers. Inc., ("LB") was/were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barry Casanova 94-03001 Name of Respondents Olde Discount Corporation Scott Trello REPRESENTATION For Claimant Barry Casanova (''"Claimant"): Brian H. Silver, Attorney at Law, Towson, Maryland For Respondents Olde Discount Corporation ("Olde") and Scott Trello ("Trello"): Timothy L. Isom, Corporate Attorney, Olde Discou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rose Marie Dechene Tmst 94-04333 NameofResnondent Jos^h Sacco CASE SUMMARY In a claim filed with die National Association of Securities Dealers, Inc. on October 19, 1994, Qaunant Rose Marie Dechene Trust, alleged diat Respondent Joseph Sacco, with InvestaCorp, Inc. 'tricked" her into purchasmg Qualur Oats stock by misrq)res«iti

N.A.S.D. AWARD HATZOHiai ASSOCZATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brenda J. Gilmore 94-04547 Name of Respondents International Money Management Group, Inc. Lartha Anistead, Jr. RBPRBSBHTATIOM Claimant Brenda J. Gilmore ("Gilmore") was represented by Marvin L. Szymkowicz, Esq., Washington, D.C. Respondents International Money Management Group ("IHMG") and Larttia Anistead, Jr. ("Anist

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitrauon Between Name of Claimant(s) Jerome Baum 92-01400 Ni^me of ResDondentfs) Merrill Lynch Pierce Fenner & Smith Ine William Harris After the arbitrators issued their Award in connecdon with the above- captioned mattery the Claimant filed a Petition to Construe Arbitration Award or in the Alternative, to Vacate, Correct or Modify Arbitration Award. Hie

NASD DISPL1K RESOLlJ'IION AWARD NASD DISPUTE RESOIA TION. INC. CASF:: 00-00617 Patrick B. De Fontenay. Claimant vs. Prudential Securities. Inc.. Respondent. AlTORNl-A'S: Clainianl, Patrick B. De Fontenay. ("Claimani"). appeared Pro Sc.. Washinszton. DC. For Respondent, Prudential Securities, Inc. ("Respondent"), appeared in-hou.se counsel Marci B. Gold. Esq.. New York. NY. DATF. FILF.D: Februarv 11. 2000 ARBITRATOR'S RFPORT: Respondent acted within

Award NASD Dispute Resolution In the Matter of the Aibitration Between: E* Trade Securities LLC, Claimant v. Currie Novak (f7k/a Currie Whisenliunt) and David P. Novak, Respondents Case Number: 03-07434 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: John Bersin, Esq. E*Trade Securhies LLC Rancho Cordovz^ Califomia For Respondent Currie M. Novak (fiTc/a Currie Wliisenhu

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee Bergfeld, Jennifer Bergfeld, Frank Rodgers and Carol Rodgers, Claimants v. Morgan Stanley DW Inc., Russell A. Abbott and Rodger Smith, Respondents Case Number: 03-07431 Hearing Site: San Francisco, Califomia Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Attorney At Law Novato,