Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lisa A. Harpenau, Claimant v. Morgan Stanley Dean Witter, William Joseph Jones and Charles Schwab & Co., Inc., Respondents Case Number: 00-03869 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. San Rafael, California For Respondents Morgan Stanley Dean Witter and William Joseph Jones: Anne T. Cooney, Esq. Mor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Richard and Ghlslaine Price 92-00740 Names of Respondents Palm Beach Financial, Inc. Peter S. Smith Frederick B. Spears Karen A. Lee Larry J. Stanavitch REPRESENTATION Claimants, Richard and Ghislaine Price were represented by John P. Stetson, Esq. of West Palm Beach, Florida. Respondent, Palm Beach Financial,

NAUOMh. ASSOCIATION)* SECURITIES D£AtQS, In the Matter of the Arbitration Between Esnat H. Mahaoud Claimant vs. Equitable Securities of New York Richard Schaefer Respondents CASE 189-00257 AWARD CASE SUMMARY •In a claim filed with the National Association of Securities Dealers-, Inc. on January 27, 1989, Claimant Esmat H. Mahmoud alleged Respondent Richard Schaefer made misrepresentations to her that the stock of Compass Distributing

N.A.S.D. AWARD NKTICNMi ASSOdflTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between David Schenker 89-00128 Lynch, Pierce, Fanner & Smith Gof £ For claimant: Christopher L. Burton, Esq. and James W. peters, Esq. of Jones, ftaldo, ifolfarook & JfcDonough, Salt Lake City, Utah. For Respondent*! Dennis M. Pape, Esq. of MarHTI Lynch, Pierce, Fannar & 9«ith, Inc., New York, New York. Statement of Claim filed January 10, 1989.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03322 Oide Discount Corporation, claimant vs. Frank Bierekoven, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Collection Department, Olde Discount Corporation, Detroit, Michigan. Respondent Frank Bierekoven ("Respondent") did not respond to the Statement of Claim. DATE FILED: 7/21/1999 CASE SUMMARY: Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In tne Matter of the Arbitration Between ) ) Estate of S.C. Heitner, First National ) Bank of Evergreen Park, Administrator ) ) Claimant ) anci CASE NO. 89-00103 Newnard Cook & Co., Inc. and Jerry Stein Respondents ) CASE SUWARY In a claim filed with the NASD on or about January 16, 1989, Claimant, the Estate of Jeanette C. Heitner ("Estate*) alleged that Respondent Jerry Stein ("S

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } CATHERINE C. and WILLIAM A. GERARD, ) Claimants, ) } Case H9-Q0024 vs. ) Avard XASHNER DAVIDSON"SECURITIES CORPORATION, ) Respondent. ) Heard before the member of the Arbitration Panel: James R. Kennedy Jr., Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on January 9, 1989. The hearing •«as conducted in Tampa, Florida on February 14, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Bruce Knutson 92-02719 Name of Respondent Dean Witter Reynolds, Inc. For Claimant at the hearing: Bonnie L. Wilkins. Esq. of Holmes & Graven, Minneapolis, Minnesota. For Respondent at the hearing: Scott £. Richter, Esq. of Popham Haik. Minneapolis. Minnesota. CASE INFORMATION Statement of Claim filed: August 13. 1992. C

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert I. Youk 92-02717 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1992. Claimant Robert S. Youk, who appeared Pro Se, alleged that Respondent Olde Discount Corp. made unsuitable recommendations which caused him to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot' the Arbitration Between Name of Claimant Eugene Koalkin 92-02715 Name of Respondents Prudential Securities Inc. Selig Ratchick REPRESENTATION For Claimant Eugene KoaUtin ("Claimant"): David Hirschberg, Esq., of Wexler ABurkhart, P.C. For Respondents Prudential Securities, Inc. ("PSI") and Selig Ratchick ("Ratchick"): Joseph D'Elia, Esq., of the Law Offices of