Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carolyn Casado, individually and on behalf of the Carolyn Casado Individual Retirement Account and the Carolyn Casado Roth Individual Retirement Account, Claimant v. Stock Doctor Investment Management a/k/a StockDr.com and Lee Siler, Respondents Case Number: 01-03074 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Carolyn Casado, individually and on behalf of t

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Wanda Jo Gardner and 94-01900 Name of Respondent Cullom & Sandow Securities, Inc. Thomas Timothy Cullom Richard Wells Richard L. Sandow REPRESENTATION OF PARTIES. Wanda Jo Gardner ("Claimant") was represented by Jonathan Pace, Esq., Pace & Rickey, Dallas, Texas. Cullom & Sandow Securities, Inc. ("Respondent Cullom

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Iflame of Claimant Dennis Cooper Award No. vs. 94-01895 Name of Respondents Dean Witter Reynolds Inc. Raymond Lewis REPRESENTATION For Claimant, Denise Cooper, ("Claimant") Stephen G. Thomas, Esq., from the law firm of Thomas & Boles, located in Chagrin Falls, Ohio. For Respondent, Dean Witter Reynolds, Inc., ("DWR"), Paul D. Allen, Esq

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Prabhakar Kamath, individually and as Custodian for Rahul Kamath. as Custodian for Haresh Kamath, as Trustee for the Prabhakar Kamath M.D. Profit Sharing Plan, and Geetha Kamath, individually, Claimants, and No. 94-01894 Merrill Lynch, Pierce, Fenner & Smith, Inc., and Shariq Mansuri, Respondents. REPRESENTATION OF PARTIES Prabhak

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. 94-01893 Name of Respondent Scott Andress REPRESENTATION For Claimant: Kemper Securities, Inc. ("Kemper") was represented by Michael A. Kraft, Esq. of Gomberg, Kane & Fischer, Ltd., located in Chicago, Illinois. For Respondent: Scott Andress ("Andress") did not appear. CASE INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) GKN Securities Corp. 94-01891 Name of Respondent(s) Kevin Spinelli CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1994 Claimant GKN Securities Corp. ("Claimant"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that Respondent Kevin Spinelli

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth Helm, Jr. vs. 94-01889 Name of Respondents Thomas James Associates, Inc. Glen Holbert David Peterson CASE INFORMATION In a claim filed with the National Association of Securities, Dealers, Inc. on May 19, 1994, Claimant Kenneth Helm, Jr., who appeared Pro Se, alleged that Respondents Thomas James Associates, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward Gaskins & Bemice L. Van Pelt 94-01883 Name of Respondents Emanuel & Company Thomas James Associates, Inc. Manlio Bastart REPRESENTATION For claimants Edward Gaskins ("Gaskins") and Bemice L. Van Pelt ("Van Pelt") (collectively referred to as "claimants") appeared Michael E. Silverman, Esq., Holmdel, New Jersey.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Isaac M. Levy, also known as Zaki M. Levy NASD Arbitration No. 94-01881 Name of Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. Jay Gelbart REPRESENTATION For Claimant: Robert W. Blanchard, Esq., Blanchard, Krasner & French, La Jolla, California For Respondents: Stephen Young, Esq., Keesal, Young

NASD STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber Incorporated and 94-01880 Randall W. Roebuck AGREED ARBITRATION AWARD Claimant, PaineWebber Incorporated ("PaineWebber"), and Respondent, Randall W. Roebuck ("Roebuck"), hereby stipulate and agree to the entry of the following award in the above-captioned arbitration. CASE SUMMARY In the Statement of Claim, PaineWebber