NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00883 Marion Bass Securities Corporation, claimant vs. Raymond R. Blum, respondent. ATTORNEYS: For Claimant appeared Dana C. Siragusa, Esq., Atlanta, GA. Respondent appeared Pro Se., Cabins, WV. DATE FILED: February 29, 2000 CASE SUMMARY: Claimant alleged that respondent was unjustly enriched from the proceeds of Canadian Securities mistakenly transferred into his account. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael Rios 93-03309 Name of Respondents Jeffrey Brooks Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1993, Claimant Michael Rios, who appeared Pro Se, alleged that he entered into an agreement with Respondent Jeffrey Brooks Securities Inc. whereby C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert B. Kaplan 93-03308 Name of Respondents Michael P. Black Titan/Value Equities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1993, Claimant Robert B. Kaplan, who appeared Pro Se, alleged that he purchased American Balance Fund and Fundamental Investors

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between p • > r? • i p Name,of Claimant).s) rou^tO Otto Ham 93-03297 Name of Respondent s) CC & Q Investors Diversified Co. Darnell Davis Roxanne Thompson Robert F. Craig REPRESENTATION The Claimant appeared pro se. The Respondents appeared pro se. CASE INFORMATION Statement of Claim filed: August 20. 1993. Amendment to Statemen

N.A.S.D. AWARQ NATIQNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Vernon and Isabelle Elstad, as Trustees of the Elstad Family Trust NASD Arbitration No. 93-03296 Name of Respondent(s) Royal Alliance Associates, Inc. Gary W. Sherwold REPRESKMTATIQN For Claimants: Paul N. Young, CEO, Securities Arbitration Group, Inc., Marina del Rey, California For Respondents: Robert M.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Caryn Descombes 93-03295 Name of Respondent Christopher A. Westerfield CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1993, Claimant Caryn Descombes, who appeared Pro Se, alleged that she loaned $4000.00 to Respondent Christopher Westerfield in the form of a promissory

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marguerite D. Burgess 93-03291 of Respondents Advantage Capital Corp. William N. Cadden & Co., Inc. William M. Leeb REPRESENTATION Claimant Marguerite D. Burgess ("Burgess") was represented at the hearing by William N. Butler, Esq. of the law firm of Howard, Butler & Melfa, Towson Maryland. Respondents Advantage Capital

N.A.S.D. AMENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Commonwealth Associates, Inc. 93-03290 Nanieof ResBpndent Lew Lieberbaum & Co., Inc. Name of Third-Patty Respondents Michael Falk Kerry J. Dukes REPRESENTATION For Claimant and Third-Party Respondents: Sandra D. Grannum, Esq. of Tenzer, Greenblatt, Fallen & Kaplan located in New York, New York. For Responden

>f N.A.S.D. AWARD Til 1 100 NATIONAL ASSOCIATION OF SECURITIES DEALERS I In the Matter of the Arbitration Between Name of Claimant Chester P. Rosen 93-03289 Names of Respondents Shearson Lehman Hutton, Inc. William Haas REPRESENTATION For Claimant, Chester P. Rosen ("Rosen"): Chandra L. Parker and Mitchefi Perlstein of Parker Perlstein & Co., Boca Raton, FL. For Respondents, Shearson Lehman Hutton, Inc., ("Shearson") and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS • i. In the Matter of the Arbitration Between Name of Claimants Roger A. Madden « • r 93-03347 Name of Respondents Hibbard Brown & Company, Inc. Dennis Lomax Timothy A. Walter CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on August 24,1993, Claimant Roger A. Madden, who appeared Pro Se, alleged that he told Respondent Timothy Walte