NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04059 Joseph Stevens & Company, claimant vs. Gene Ramos, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., New York, NY. Respondent did not submit a response to the Statement of Claim. DATE FILED: July 31, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed for registration costs pursua

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nonnan E. Duquette v. PaineWebberlncorporated Attomeys: For Clalmant(s): NonnanE. Duquette- Rockville, MD For Responitent(s): Sandra Grannum Esq. - Weehawken, NJ Date Filed: 12/02/1997 First Scheduied: 04/29/1998 Decided: 11/03/1998 Case Summary: Claimant, a public customer, alleges breach of fiduciary duty, misconduct and nflsrepresentatran with respect to his accou

•""^ New York Stock Exchange In the Matter of Arbitration Between ^ NYSE Case: Gene B. Maudlin v. Andrew Lanyi and Oppenhelmer& Company Inc Attomeys: For Claimant(s): Gene B. Maudlin - Lake Oswego, OR For Respondent(s): Russell S. Katz Esq. - New Yorit, NY Date Fiied: 12/08/1997 Rrst Scheduled: 03/06/1998 Decided: 03/06/1998 Case Summary: Claimant a public customer, alleges respondents,a memberfirm and registered representative,f

y ;w York Stock Exchange . the Matter of Arbitration Between NYSE Case: Gruntal & Co., L.L.C. v. Steven Volk Attorneys: For Clalmant(s): Joseph A. Vallo Esq. - New Yorit, NY For Respondent(s): Mari( S. Williams Esq. - Cambridge, MA Date Filed: 12/04/1997 First Scheduled: 05/21/1998 Decided: 5/21/1998 Case Summary: Memberfirm claimant alleges breach of employment agreementand nonpaymentof promissory note and seeks Ik^uldated damag

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oavki Oayan v. Charies Schwab & Co. Attorneys: For Claimants): Marc J. Gokl Esq. - Coral Springs, FL For Respondant(s): Gregory M. Scanlon Esq. - San Frandsco, CA Date Filed: 12A)5/1997 First Scheduied: 07/16/1998 Decided: 7/16/1998 Case Summary: Customer claimant alleges inability to cancel purchase error made via electronic telephone trading seivioe. Product: E

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Theodore Zaravinos, Custodian for John Zaravlnos and Katherine Zaravlnos v. Gruntal & Co. Incoiporated Attorneys: For Claimant(s): John C. Kelly Esq. - West Palm Beach. FL For Respondent(s): Donald N. Cohen Esq. - New Yori< , NY Date Filed: 12/04/1997 First Scheduled: 05/20/1998 Decided: 09/15/1998 Case Summary: Customer claimant alleges unauthorized trading in

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oppenheimer & Co. Inc. v. Daniel Gorgone Attomeys: For Claimant(s): Joseph F. Keenan Esq. - Garden City, NY For Respondent(s): Daniel Gorgone- Flushing, NY Date Filed: 12/04/1997 First Scheduled: Decided: 03/19/1998 Case Summary: Claimant alleges that Respondentfailed to repay a loan which, pursuantto a promissory note, was due upon tenmination of Respondent's em

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard S. Thompson & Nancy J. Thompson v. Smith Bamey, Inc. (formerly Shearson Lehman Brothers & Paine Webber, Inc. Attorneys: For Claimant(s): Richard S Thompson - Chatham, MA Richard S. Thompson - Hobe Sound, FL For Respondent(s): Linda R. Alpert Esq. - New York, NY Amy Bard Esq. - Weehawken, NJ Date Filed: 12/01/1997 First Scheduled: 07/07/1998 Decided: 7/7/1

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co., L.L.C. v. Harrison Margolin Attorneys: For Claimant(s): Joseph A. Vallo Esq. - New Yoric, NY For Respondent(s): Harrison Margolin - Miami, FL Date Filed: 11/24/1997 First Scheduled: 04/09/1998 Decided: 5/20/1998 Case Summary: Memberfirm claimant alleges breach of settlement agreement Product: OTHER Market: Claim Data Claim: $15,187.91 P

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Roger and Elaine Lai v Smith Bamey Inc. Attorneys: For Claimants): Penny Martin Esq. - West Palm Beach, FL For Respondent(s): Nicole L. Felton Esq. - New York, NY Date Filed: 11/20/1997 First Scheduied: ^ / / c ? / ^ ? Decided: 02/10/1998 Case Summary: Claimant, a customer, has alleged that respondentmade misrepresentations regarding an in