NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04015 Kayvan Karoon (Claimant) v. Thomas Blair (Respondent) ATTORNEYS: For Claimant Kayvan Karoon ("Claimant") appeared Paul A. Lieberman, Middletown, NJ. Respondent Thomas Blair ("Respondent") appeared pro se, New Paltz, NY. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: September 5, 2006. CASE SUMMARY: Claimant alleged breach of contract and failure to repay loan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04816 Sandor Legrady, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Norridgewock, ME. For Respondent appeared in-house counsel Steve Murphy, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 30, 2006 CASE SUMMARY: Claimant alleged that Respondent misrepresented facts regarding dividends on investments. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ijame of Claimant js± James H. Boehmler 90-00233 Name of Respondent!s) Summit Investment Corporation Philip T. Huss Heard before; Dene Public/Industry Jack D. Elmouist, Eso. PUBLIC in his claim filed with the NASD on January 19, 1990 Janes H. Boehml ("Claimant") alleged that Philip T. Huss, a registered representative Summit Investm

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N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between ) John Paul Currie ) ) ) Case No. 90-00197 E.F. Hutton & Company, Inc. ) Joe Tom King. ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. James D. Bruner Janes B. Williams This claim was filed with the NASD on January 17, 1990. The hearing was conducted in Tampa, Florida on November 14 and 15, 1990, with a total o

M.A.S.D. .-j .'lATICNAL ASSOCIATICN CF SECLTHTIIS 2EALERS ..-. --Q Matter or -~e ArDirrati-r. 3erx>een of i Richard G. and Marilyn F . Gabriel 89-03458 PaineWebber, Inc. Mark J. Robles John L. Shftgnan Robert K. Perkins :iaimants were represented by Pamela K. Barer, Esq. -f Fidler ana 5eii P-esponaents v«re represented by Judy Louie, Isq. or Paines««Dber, Ir.c. rhis matter was initiated oy a Statement or Claim fiiea vith zne Mati

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Strong Mechanical, Inc. Employee's Retirement Trust, Claimant v. Torrey Pines Securities, Inc. and Richard Youngblood, Respondents Case Number: 99-03574 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: Eileen L. McGeever, Esq. Rushall & McG

NATl"NAL AS50CJ •vrTMN . < y SECURITIES DEALERS, INC Case 89-03432 AWARD r n Uie Matter of the Arbitration Between Weimin Shi and Ting Cui Claimants vs . 'i«''hflPl Geller, H. i< «=nth Aufhauser rind f . Atihhauser *• Company, inc. Respondents CASE SUMMARY Claimants, Weimin Shi and Ting Cui (hereinafter "Claimants") alleged that Respondents, Michael Geller and .R. Keith Aufhauser (hereinafter "Respondents") made unauthorized transa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) James E. Schueth ) Claimant(s) ) and ) ) CASE NO. 89-03393 Firstier Brokerage, Inc. and ) Jeffrey Einfalt ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on or about December 4, 1989. Claimant James E. Schueth ("Claimant") alleged that Respondent Jeffrey ^.Einfall ("Einfalt"), an employee of Respondent Firstier Brokerage, Inc. ("

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) SELMA SQUILLANTE ) Claimant(s) ) Case No. 89-03392 and ) TRAVELERS EQUITY SALES, INC., PAUL SEGERT, AND RONALD E. AND WANDA SCHOLLMEYER Respondent(s) CASE SUWARY Selma Squillante ("Claimant") alleged as follows: 1. Ronald E. Schollmeyer, ("Schollmeyer"), a registered representative of Travelers Equity Sales, Inc. (^Travelers") recommended