Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02250 Moshe Lehrfield Lehrfield Family Ltd PTNRSHP Jennifer Lehrfield & Moshe Lehrfield JT/WROS Star-Oak Associates Jennifer Lehrfield Star-Oak Associates Lehrfield Family Ltd PTNRSP Star-Oak Associates Jennifer Lehrfield & Moshe Lehrfield JT/Tenancies by the Entireties Name of the Respondent Hearing Site: Boca Raton, Florida

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ross K. Fuller 96-01704 Name of Respondent Chatfield Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1996, Claimant Ross K. Fuller ("Claimant"), through his representative Paul N. Young, Esq. of Securities Arbitration Group, Inc, located in Marina del Rey, CA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between PaineWebber, Inc. vs. Newport Hedging Consultants Claimant/ Counter- Respondent Respondent/ Counter- Claimant ) Award ) NASD #87-02404 SUMMARY OF ISSUES Claimant PaineWebber, Inc. filed this claim on December 2, 1987 against Respondent Newport Hedging Consultants for damages resulting ffdm Respondent's failure to meet a margin ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shengli Qu, aka Qu Shengli, Claimant v. E*Trade Securities LLC, Respondent Case Number: 06-01027 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Charles A. Domokos, Esq. Law Offices of Jason J. Lee & Associates Pasadena, California For Respondent: John Bersin, Esq. E*Trade Financial Roseville

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03634 Lois M. Hall, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant Lois M. Hall ("Claimant") appeared Pro Se., Pilesgrove, New Jersey. For Respondent Waterhouse Securities, Inc. ("Respondents") did not respond to the Statement of Claim. DATE FILED: 08/09/1999 CASE SUMMARY: Claimant alleged that Respondent failed to transfer her f

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants William L. and Jean G. Bright Carrie Saraniti Case No. 00-01147 Name of Respondent Sheilds & Company Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For William L. Bright ("William Bright"), Jean G. Bright ("Jean Bright"), and Carrie Saraniti ("Saraniti") hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq. of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hampden Securities, LTD (Claimant) v. Charles Schwab & Co., Inc. (Respondent) Case Number: 06-00708 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Hampden Securities, LTD, hereinafter referred to as "Claimant": Irwin Stein, Law Office of Timothy A. Canning, Novato, CA. Respondent Charles Schwab & Co., Inc., hereina

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee Schwartzapfel (Claimant) v. Morgan Stanley Dean Witter, Inc., James Gunther, Stephen DiModica, and Louis R. Rosenwein a/k/a Lou Rose (Respondents). Case Number: 04-01058 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Lee Schwartzapfel hereinafter referred to as "Claimant": Jonathan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra F. Brown (Claimant) v. Ferris, Baker Watts, Inc., The Westheimer Group and Brian Kroneberger, Jr. (Respondents) Case Number: 06-02573 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Sandra F. Brown hereinafter collectively referred to as "Claimant": Michael T. Imms,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stephen J. Roach, III vs. Name of Respondent Robert W. Baird & Co., Inc. Case Number: 06-03605 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Stephen J. Roach, III ("Claimant") was represented by Anthony V. Trogan, Esq., Anthony V. Trogan PLLC, West Bloomfield, Michigan. Robert W. Ba