Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Huasha Liu and Anping Liu, Claimants v. Charies Schwab & Co., Inc. Respondent. Case Number: 98-04971 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: Mark S. Ravis, Esq. Law Office of Mark S. Ravis & Associates Beverly Hills, Califomia For Respondent: Stephen Young, Esq. Keesal, Young & Logan Long Beach, Califomia CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Aibitration Between Names of Claimants Jonathon B. Rintels, Jr. and Arthur L. Stem, in as Personal Representatives of tbe Estate of Jonathan B. Rintels Names of RestXMidetits Olde Discount Corporation Carl Robinson Case No. 98-04829 REPRESENTATION OF PARTIES For Claimants Jonathan B. Rintels, Jr. ("Rintels") and Arllmr L. Stem, m ("Stem") as Personal Repiesentatives of the

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03783 Wien Securities Corp., claimant vs. Robert Laske, respondent. ATTORNEYS: For Claimant appeared William Ryder, Esq. of Wien Securities Corp., Jersey City, NJ Respondent appeared Pro Se, Livingston, NJ DATE FILED: August 17, 1999 CASE SUMMARY: Claimant alleged failure to comply with oral agreement whereby respondent was obligated to repay loan against

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Patrick and Christine Cha Fong 94-04602 Michael McFarquhar Investors Associates, Inc. In a claim filed with the National Association of Securities Dealers, Inc. on October 2,1994, Gaimants Patrick and Christine Cha Fong ("aaimants"), who appeared Pro Se, alleged diat Respondents MIdiad McFarquhar ("McFarquhar"), and Investors Asso

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant JACK WEATHERFORD and 94-03531 Names of Respondents PRUDENTIAL SECURITIES, INC., JEFFREY CAGNINA and RANDALL CARBONE REPRESENTATION For Claimant: Jack Weatheiford ("Weatherford") was represented to W. Paul Parash, Esq., located in San Marcos, Texas. For Respondent: Prudential Securities, Inc. ("PSI"), Jeffrey Cagnina ("Ca

N.A.S.D. JWARD NioiCNKL Assocnnar CF SSCCRITJES IEKJBSS la tbe Matter of tba Azbitzatioa fiatMan MB— ot caaiaantlfl^ LsEoy BalAL. vs. 91-00632 Buttea, me. J«ff For OLsdantsi MUUBB J. Mxd, Baq., Said & BaUyar, San BaeaaxdlnOr For RaapcBlntai KLcifaBeL M. GLaaa, Beq., Taaeal tamg fc Logn* Long StatsMBt of Claim filadi Nbanaxy 27, 1991. daiaanta* fli*wlMlnw Agcavant algaadi Mxdi 6, 1991. Jolot Statenanr of JaaNar fUadbf fiaq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Leonard J. Krawczyk, Trustee FBO Leonard J. Krawczyk and Leonard J. Krawczyk, II, JTNROS, Leonard J. Krawczyk, Trustee FBO Leonard J. Krawczyk Trust, DTD 11-26-84, Hillcrest Memorial Gardens Merchandise Account. Hillcrest Memorial Gardens Merchandise Account - A/C L2, Hillcrest Memorial Gardens Perpetual Care Fund. Hillcrest Memorial Gardens Pre-Paid F

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Michael L. Aranyi, IRA and Michael L. and Wanda Lynn A. Aranyi vs. Names of Respondents Charles Schwab & Co., Inc. and Annie M. Ross Case Number: 06-03301 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Michael L. Aranyi, IRA and Michael L. and Wanda Lynn A. Aranyi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Christine M. Powers vs. Case Number: 07-00067 Hearing Site: St. Louis, Missouri Name of Respondent Keith R. Uebelein NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Christine M. Powers ("Claimant") appeared pro se. Keith R. Uebelein ("Respondent") was represented by Rebecca C. Davis, Esq., Tate Lazarini Brady &

Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Alfred Mariano (Respondent) Case Number: 06-04592 Hearina Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent