N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, EVC. CASE: #99-02667 OLDE Discount Corporation, claimant vs. Lee Esther Curtis, respondent. ATTORNEYS: For Claimant, OLDE Discount Corporation, appeared in-house counsel Aaron L. Kleid, Esq., Detroit, MI. Respondent, Lee Esther Curtis, did not respond to the Statement of Claim. DATE FILED: June 10, 1999 CASE SUMMARY: Claimant alleged that respondent sold 100 shares of G

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert A. Audette, (Claimant) vs. Sharpe Capital, Inc., Lanny T. Fried, and James Pepio, (Respondents) Case Number: 00-04736 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert A. Audette, hereinafter referred to as "Claimant": Earle Giovanniello, Esq., Law Offices of Earle Giovanniello, New Haven, CT. Respondent, Sharpe Capital, Inc. ("Sharpe"), di

Consent Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Teddy Galea, (Claimant) vs. Glenn Michael Financial, Inc. and John Conroy, (Respondents) Case Number: 00-02986 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Teddy Galea, hereinafter referred to as "Claimant": Brad S. Maistrow, Esq., Snow Becker Krauss P.C., New York, NY (Mr. Maistrow was with the law firm of Meyers & Maistrow, New York, NY, when

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tony Wong, Claimant v. Dean Witter Reynolds Inc., Respondent Case Number: 00-02798 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: John A. Bender, Jr. Weiss Jensen Ellis & Howard Seattle, Washington For Res-ppndent: Anne T. Cooney Morgan Stanley San Francisco, California CASE INFORMATION Statement of Claim filed: June 8, 2000 C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between SII Investments, Inc. Case No. 00-00186 Hearing Site: Milwaukee, Wisconsin of Respondent Jason Miles Benton PFPRFSF.NTATTfW OF PARTTF.S Claimant SII Investments, Inc. ("SII") was represented by Phillip C. Korovesis, Esq., of the firm of Butzel Long located in Detroit, Michigan. Respondent Jason Miles Benton ("Benton") did not appear. TASF TIVFORMATTON Statem

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elliot Schwarz Claimant(s) vs. Wakefield Financial Corp., Alexander Minella, George Palefsky, Frank Casillo, Phillip Bredow, Keith Minella, Wall Street Clearing Co., and Joseph Turkiewicz Respondent(s) NOTICE OP ARBITRATION AWARD 89-01330 CASE SUMMARY Claimant(s) Elliot Schwarz alleged that Respondent(s) Wakefield Financial Corp., Alex

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald F. Gamer and Terry A. Gamer vs. Claimant(8) 89-01328 Jane Nize Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Donald F. Gamer and Terry A. Gamer alleged that Respondent(s) Jane Nize made misrepresentations. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Donald F. Gamer and Terry A. Gamer requested da

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald E. Macalik Claimant(s) vs. Blinder, Robinson & Co., Inc., Sean McSorley and Daniel Defoe Respondent(s) NOTICE OF ARBITRATION AWARD 89-01324 CASE SUMMARY Claimant(s) Donald E. Macalik alleged that Respondent(s) Blinder, Robinson & Co., Inc., Sean McSorley and Daniel Defoe purchased securities in Claimant's account without authorizati

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Omar Corp. Claimant(s) vs. 89-01322 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Omar Corp. alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. made misrepresentations and failed to follow instructions. Respondent(s) deny all allegations of wrongdoing. REL

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cicely Paretzky Claimant(B) vs. A.F. Green & Co., Mr. A.F. Green and Michael Stein Respondent(s) NOTICE OF ARBITRATION AWARD 89-01318 CASE SUMMARY Claimant(s) Cicely Paretzky alleged that Respondent(s) A.F. Green & Co., Mr. A.F. Green and Michael Stein made misrepresentations. Respondent Michael Stein maintains that at no time did he offer the