Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 05-05139 Albert Awakim, Individually Albert Awakirn IRA Rollover DTD Marc B. Wolin as Authorized Agent and Representative of Deborah D. Wolin Deborah D. Wolin Roth IRA Marc B. Wolin Roth IRA Kendall A. Wolin UTMA Deborah D. Wolin Traditional IRA Marc B. Wolin Traditional IRA Courtney M. Wolin Names of the Respondents Hearin

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03801 P. Justin Pearlstone Names of the Respondents Hearing Site: Boca Raton, Florida McLaughlin, Piven, Vogel Securities, Inc. James Joseph McLaughlin, Sr. James Cecil McLaughlin James Michael Kennedy Edward Thomas Brienza Ira Arnold Cohen Nature of the Dispute: Customer vs. Member and Associated Person. REPR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02772 Johnny L. Timm Names of the Respondents Hearing Site: Atlanta, Georgia National Securities Corp. Dwayne Samboy Joon Rhee Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Johnny L. Timm, hereinafter referred to as "Claimant": Greg L. Thorpe, Esq., Law Offices of G. Lynn Thorpe, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00701 John H. Chandler, Jr. and Kathleen W. Chandler Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John H. Chandler, Jr. and Kathleen W. Chandler, hereinafter collectively referred to as "Claimants": H. Naill Falls, Esq., Fa

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08420 Charles L. Cooper and Mary R. Cooper Names of the Respondents Hearing Site: Tampa, Florida Donald W. Reinhard Paragon Financial Group, Inc. William Lee Bear Stearns Securities, Corp. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Charles L. Cooper ("C. Cooper") an

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08226 Robynne Brown Christopher R. Malone Names of the Respondents Hearing Site: Washington, D.C. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Kevin Keating Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robynne Brown and Christopher R.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02307 Charles Schwab & Co., Inc. Claimant vs. Amerika Aurre, Respondent. ATTORNEYS: For Claimant, Charles Schwab & Co. Inc. ("Claimant"), appeared Stephen S. Berkeley, Esq. of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent, Amerika Aurre, ("Respondent"), did not respond to the statement of Claim. DATE FILED: May 19, 1999 CASE SUMMARY: Claimant alleged that Respondent deposi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaineofClaiinant PaineWebber Incorporated * NameofResDondent Benjamin Miceli 94-01058 Names of Third Party Respondents Joseph Grano Martin Salzman Terry Atkinson James Treadway Robert Donate Donald Marron Paul Guenther Thomas Hayden For Claimant PaineWebber Incorporated ("Claimant") and Third Party Respondents Joseph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the M&tter of the Arbitration Between Name of Claimant/Counter-Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. 94-00844 Name of Respondents/Counter-Claimants Apostolos Sotirades and Constantine Sotirades REPRESENTATION For Claimant/Counter-Respondent: Merrill Lynch, Pierce, Fenner and Smith, Inc. ("Merrill Lynch") was represented by Kathy Patrick, Esq. and Barrett H. Rea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between «. Name of Claimant David E. Perry 94-00774 Name of Respondent Emanuel & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1994, Claimant David E. Perry ("Claimant"), who appeared Pro Se, alleged that Respondent Emanuel & Company ("Respondent"), failed to timely deliver to Claimant h