Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First of Michigan Corporation v. John Buda Case Number: 98-4990 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, First of Michigan Corporation ("FOMC"). hereinafter referred to as "Claimant": Michael P. Coakley, Esq., Miller, Canfield, Paddock and Stone, PLC, Detroit, Michigan. Respondent, John Buda ("Buda"), hereinafter referred to as "Respondent": Stephen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Luis Santillana and Intervest SA, (Claimants) vs. Gilford Securities Incorporated, Gabriel Carino, and Howard Perkins, (Respondents) Case Number: 98-04917 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Luis Santillana and Intervest SA, hereinafter collectively referred to as "Claimants": Louis F. Burke, Esq., a sole practitioner, New York, NY. Previously represe

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eric Chun, (Claimant) vs. Datek Securities Corp., (Respondent). Case Number: 98-04720 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Eric Chun hereinafter referred to as "Claimant": James Jay Seltzer, Esq., Law Offices of James J. Seltzer, Emeryville, California Datek Securities Corp. hereinafter collectively referred to as "Respondent": Fredrick A. Rafeedie, E

N.A.S.D. REGULATION, INC. AWARD CASE: 95-04860 GKN Securities Corp, claimant vs. David Karass, respondent. ATTORNEYS: For claimant appeared Katherine Nathan, Esq. - New York, NY. Respondent appeared Pro Se - New York, NY. DATE FILED: 10/16/95 CASE SUMMARY: Claimant alleged failure to pay promissory note. Claim Data Award Data Claim: $24,280.54 Award: $4,982.74 Interest: Requested Interest: 5 % from 3/22/95 until paid. Atty Fees: Requested At

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack A. Boys II, individually and as Trustee for the Jack A. Boys II Rev. Trust UDT dated 10/22/98 and on behalf of the Jack A. Boys R-IRA, Cathy and John Caraco, and Barbara Boys, Claimants v. Deutsche Bane Alex. Brown (f/k/a BT Alex. Brown), James F. Buckley, Jr., John A. Kryzanowski, Fred C. Crozier, Laura L. Falvey, and David A. Lanshe, Respondents Case Number: 00-04828

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03689 Virginia Goldmann, claimant vs. Chris Pratico, respondent. ATTORNEYS: Claimant Virginia Goldmann, ("claimant") appeared Pro-Se, Lavallette, NJ. For Respondent Chris Pratico, ("respondent") appeared in-house counsel, Keith Guilfoyle, Esq. New York, NY DATE FILED: August 11, 1999 CASE SUMMARY: Claimant alleged failure of respondent to disclose charges which would be associa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01155 Alan L. Wyatt and Joan M. Wyatt, claimants vs. Bidwell & Company, respondent. ATTORNEYS: Claimants appeared Pro Se., Oregon City, OR. Respondent Bidwell & Company appeared through its Compliance Officer, Kevin C. Peck, Portland, OR. DATE FILED: March 16, 2000 \T>V- /~ t 1,-,i*-->nt- 4 *- ^.11 -MT.-wl +V," + ^,, ,.-„ „ ^, ,-I ,. >T -, j- ,-„ ,, XI ~, *•

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05101 Uzi Barany Nechama Goldblat Names of the Respondents Hearing Site: Boca Raton, Florida Sands Brothers & Co., Ltd. Steven Sands John Telfer Leila Shuminer William A. lommi, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Uzi Barany ("Barany") and Nechama Go

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) vs. Larry O. Cohen (Respondent) Case Number: 06-02478 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. hereinafter referred to as "Claimant": Alan S. Brodherson, Esq., Law Offices of Alan S. Brodherson, New York, NY. Respondent Larry O. Cohen hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Westrock Advisors, Inc. Name of the Respondent Richard E. Sorensen Name of the Third-Party Respondent Thomas J. Downs Case Number: 06-03219 Hearing Site: Tampa, Florida Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Westrock Advisors, Inc., hereinafter referred to as "Claimant": Robert A. Giacovas, Esq., Lazare