NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. — -»-•—»^- — • — — •— — * — ^ — — •••• — — — — » — •• — -• — ™ — •*••«. — — — ,«^,.,« — — — *.»•• — *r — — •• — •« — — — — — • In the Matter of the Arbitration Between Kianoosh F. Bullock, Claimant. vs. Case 188-02229 Award Charles Schwab & Co., Inc., Respondent. On May 9. 1989. the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitrat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DR. SIDNEY J. PECK, ) Claimant. ) ) Case /88-02228 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER & SMITH. INC., ) Respondent. ) ) Heard before the members of the Arbitration Panel: John B. Kelley, Esq. Mr. Harry Polansky Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on July 13, 1988. The hearing

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Shirley Foster Elliott Foster vs. PaineHebber, Inc. Claimants Respondent CASE #88-02227 AWARD CASE SUMMARY In a claim filed at the NASD on July 18, 1988, Claimants Shirley and Elliott Foster alleged that Mrs. Foster purchased 1000 shares of Shorewood during its initial public offering and that Mrs. Foster has never sold these shares. Claiman

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mitchell G. Case, (Claimant) vs. Suretrade, Inc. (Respondent). Case Number: 99-04005 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Mitchell G. Case, ("Claimant"): Tracy Pride Stoneman, Esq.: Attorney at Law, Colorado Springs, CO. Respondent, Suretrade, Inc. ("Respondent): Alexander T. Sarafoglu, Esq. and Bennett Falk, Esq.: Morgan, Lewis & Bockius, Miami, FL.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) GULSHAN B. and DALJIT SINGH, ) INDIVIDUALLY AND AS TRUSTEES FOR ) GULSHAN B. SINGH PROFIT SHARING PLAN, ) Claimants, ) ) Case 188-02226 vs• ) Award DREXEL BURNHAM LAMBERT, INC., ) DAVID PINES and GREGORY YANKWITT, ) Respondents. ) Heard before the members of the Arbitration Panel: Anthony J. Titone. Esq. Arnold Sarrow Anthony S. Paetro, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Tsze C. Tai Thelma S. Tai vs. L.F. Rothchild & Co. Jeffrey Laster Claimants Respondents Case #88-02224 Award CASE SUMMARY Claimants allege that on October 19, 1987 they requested Respondent Jeffrey Laster sell anything in their account in order to pay off the margin debt and that Respondents Jeffrey Laster failed to sell stocks in a timely m

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc., ) Claimant, } ) Case /88-02223 vs. ) Award Peter Arcona and Janet Arcona. ) Respondents. ) Heard before the members of the Arbitration Panel: Mark Perry, Esq. Ms. Elizabeth L. Clark Mr. S. Richard Savage On May 17, 1989, the arbitrators heard the controversy between the parties as set forth in submissions to arbitra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) CHARLES SCHWAB & CO. INC., ) Claimant, ) ) Case 188-02222 vs . ) Award ) RICHARD R. GARSH and ) JENNIFER R. GARSH, ) Respondents. ) Heard before the members of the Arbitration Panel: Arieh Leo Douer Craig Edward Stein, Esq. Curtis Carlson, Esq. On May 24 , 1989, the arbitrators heard the controversy between the parties as set for

PUBLIC i, N.A.S.D. JWAKD NATIONAL ASSOCXATXCN OF SaJUkiTlbSJ DEALERS In the Matter of the Arbitration Be' Arbitration National Association of Securities Dcatore. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2-5 2} 858-4389 Florence R. Klein (t/a K/K Enterprises) Case * vs. 90-03308 Oruntal & Co., Inc. For Claimant: Sol H. Weiss, Esq. of the law firm of Auapol, Schwartz, Weiss and Schwartz, P.C.

Arbitration N.A.S.D. AWARD NKTICNAL ASSOCIflTICN OF SECURITIES DEALERS m the Matter of the Arbitration Between Jlamo of Salvatore & Lisa Saccaro Name of 90-03303 Shearson T.a*»i»ri Brothers, Inc. Guucyutte National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2121 858-4389 Claimants Salvatore & r.< rm Saccaro ("Claimants") : Joseph. F. Bochat Keenan et al.