N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dan J. & Patricia A. Yancey 93-03829 Name of Respondent Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 24,1993, Claimants, Dan J and Patricia A Yancey, who appeared Pro Se, alleged that respondent Shearson Lehman Br

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Nape of Claimant Tibor Ginter NASD Arbitration No. 93-03825 pi Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Jeffrey G. Heimstaedt REPRESENTATION For Claimants: In Pro Se For Respondents: Trenton J. Hill, Esq. - Jones, Bell, Simpson & Abbott - Los Angeles Ca. CASE INFORMATION Statement of Claim filed: September 23,199

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02746 Cantone Research,Inc., claimant vs. Joseph Anthony Sanchez, respondent. ATTORNEYS: For Claimant: Mark D. Powers, Esq., New York, NY Respondent did not respond to Statement of Claim DATE FILED: May 24, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay a $25,000 front end bonus that he received as a forgivable loan which was to be repaid if his employment was termi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) William S. Giles Barbara M. Giles NASD Arbitration v. No. 93-03818 Name of Respondent^) First Affiliated Securities G.R. Stuart & Company, Inc. Henry R. Fisher REPRESENTATION For Claimants: Mark I. Schickman, Esq., Fox & Grove, San Francisco, California For Respondent First Affiliated Securities: Jonatha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Daniel W. Hiler 93-03799 o ~ Charles F. Harris, Jr. REPRESENTATION OF PJ Claimant Daniel W. Hiler ("Hiler") was represented at the hearing Pro Se. Respondent Charles P. Harris, Jr. {"Harris") was represented at the hearing Pro Se. Statement of Claim was filed by Claimant Hiler on September 21, 1993. The Submission Agreement was signed b

N.A.S.D. AWARD ' NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grady Greer, Trustee for Toledo Carolina Profit Sharing Plan and FBO Toledo Carolina Profit Sharing Trust 93-03767 Name of Respondents Smith Barney Harris Upham & Co., Inc. John Davidson REPRESENTATION For Claimant Grady Greer, Trustee for Toledo Carolina Profit Sharing Plan and FBO Toledo Carolina Profit Sharing Trus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of. Claimants Regina and Leon Finer 93-03759 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimant: Donald F. Schneider, Esq. of Feltman Karesh Major & Farbman, located in New York. New York. For Respondent: Brian Atnery, Esq. of Bressler Amery & Ross located in New York, New York. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert J. and Betty D. Durocher 93-03758 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22, 1993, Claimants, Robert J. and Betty D. Durocher, who appeared Pro Se, alleged that Respondent, Merrill Lynch, Pierce,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ilya I. Novof 93-03752 Name of Respondent E-Trade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22, 1993, Claimant Ilya I. Novof, who appeared Pro Se, alleged that Respondent ETrade Securities, Inc. mistakenly sold stock out of his account. Claimant further

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard B. McCarten 93-03750 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 22, 1993, Claimant Richard B. McCarten ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, l