NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00955 Robert M. Aquila, Jr., Claimant vs. E*Trade Securities, Inc., Respondent. ATTORNEYS: Claimant, Robert M. Aquila, Jr., ("Claimant"), appeared Pro Se., Mt. Sinai, NY. Respondent, E*Trade Securities, Inc. ("Respondent"), appeared through its Compliance Manager, Bob Salvador, Menlo Park, CA. DATE FILED: March 3, 2000 CASE SUMMARY: Claimant alleged that on January 10, 2000 he plac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 94-02399 Name of Respondent Patrick Imus CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23, 1994 Claimant Corporate Securities Group, Inc. ("Claimant"), through its representative and in-house counsel, Gregory Tendrich, alleged that Respondent Pat

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Charles G. Devine, Michael P. LaVigna, Bernard H. Belle & Susan P. Kirstein, Harland A. Riker Jr. and Ann M. Riker, James A. Synk, John W. Kellar, III, David E. and Marie C. Devine, Barbara Beckingham, James L. Phelps et al (Claimants) vs. Weston Securities Corporation, Joseph Robbat, Jr., Douglas Albert Biggar, Jr., I. Richard Horowitz, Weston Properties Corp, The Finch Group, Inc., Westo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between J. Richard Matson 94-02208 Name of Respondent Kemper Securities, Inc. For Claimant, J. Richard Matson ("Matson"): Frank Strelec, Esq. of Williams, Parker, Harrison, Dietz & Getzen, Sarasota, Florida. For Respondent, Kemper Securities Inc. ("Kemper"): Renan I. Sugarman, Esq. of Kemper Securities, Inc., Chicago, Illinois. CASE INFORMATION Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Domingo Procopio and Roque Procopio 94-02207 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Daniel Diaz For Claimants: David A. Pearl, Esq. and Carlos F. Concepcion, Esq. of Concepcion, Sexton & Urdaneta, Coral Gables, FL. For Respondents: Alex J. Sabo, Esq. and Bennett Falk, Esq. of Morgan, Lewis & Bockius,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David S. McNally 94-02204 Name of Respondent Principal Financial Securities, Inc. formerly, (Eppler, Guerin & Turner, Inc.) Representation of Parties Claimant, David S. McNally ("McNally") appeared at the hearing Pro Se. Respondent, Principal Financial Securities, Inc. (formerly, Eppler, Guerin & Turner, Inc., "Respondent")

N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name qf Claimant John A. Thomas NASD Arbitration 94-02202 vs. Name of Respondents Stuart Coleman & Company, Inc. and Donald Hunter For Claimant: William Garfield, Esq., of Los Gates, CA 95032 For Respondents: Stuart Coleman & Co. (SC) - Victor Sicuranza, Esq. of SC, New York, N.Y. Donald Hunter (Hunter) - Pro Se, New York, N.Y. CA

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Isadora Fendelman, and Bernice Fendelman, Claimants and 94-02201 Jerome Stanford Stein, Respondent REPRESENTATI9N OF PARTIES t Isadore Fendelman, and Bernice Fendelman ("Claimants") were represented by Howard S. Smotkin, Esq., of McBrearty & Smotkin, and Matthew D. O'Leary, Esq., of Riezman & Blitz, P.C., St. Louis, Missouri. Jero

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William F. Doerrler Award No. 94-02200 Name of Respondents Fahnestock and Company, Incorporated Mary Ann Niederhauser REPRESENTATION For Claimant, William F. Doerrler ("Claimant"), appeared R. Paul Bohlin, Esq., a sole practitioner located in New York City, New York. For Respondents, Fahnestock and Company, Inc. and Mar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants M. Maureen Murphy M. Maureen Murphy & Sheila J. Franco M. Maureen Murphy & John M. Franco n M. Maureen Murphy & Stephen J. Franco Award # vs. 94-02199 Name of Respondent Gruntal & Co., Inc. REPRESENTATION For Claimants, M. Maureen Murphy, Sheila J. Franco, John M. Franco, Stephen J. Franco, ("Claimants"), David E.