N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name or Claimant Martin H. Lamb 93-03111 Name of Respondents Stratton Oakmont. Inc. Josepn Teseo Frank Skelly CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1993, Claimant Martin H. Lamb, who appeared Pro Se. alleged that some time in early 1992, Respondent Joseph Teseo of Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFALERS. IXC. In The matter of the Arbitration Between Name of Claimant Connie L. Mandell Martin Mandell v. Nan^e of Respondents Olde Discount Corporation Matt Maley Daniel Espino Charles Louis Williams. IV NASD Arbitration No. 93-03110 RECEIVED FEB 2 8 1994 REPRESENTATION For Claimant: Martin Mandell. San Diego, California For Respondents: Matt Maley and C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ivan Castellon Case No.93-03109 Name of Respondent Hencoip Becstone & Co. REPRESENTATION For Claimant, Ivan Castellon ("Castellon"): Ronald Shindler, Esq. of Fowler, White, Burnett, Hurley, Banick & Strickroot, Miami, Florida. For Respondent, Hencprp Becstone & Company ("HB&Co"): George Befeler, Esq. of Fitzgerald, Delgado,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jonathan M. Herman 93-03105 ..'(•• Name of Respondents Richard C. Guiliot Hanover Sterling & Company, Ltd. For Claimant: Jonathan M. Herman, Esq. {"Herman?) pro ae. For Respondent: M. David Say id, Esq. of Sayid and Associates, located in New York City. (Representation of Respondent Guiliot for pleadings only) CASE INFO

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen Schilson, and B. Eugene Schneider, Claimants/Counterrespondents, v. No. 93-03104 Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent/Counterclaimant. REPRESENTATJtpN Of PARTIES Stephen Schilson ("Schilson") and B. Eugene Schneider ("Schneider") (collectively referred to as "Claimants") were represented by H. Todd Iveson, Esq., of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS , •- In the Matter of the Arbitration Between Name of Claimant Offset, Inc. Profit Sharing Plan 93-03102 Name of Respondents Gallon & Associates, Inc. Brian William Mohan Southwest Securities, Inc. For Claimant, Offset, Inc. Profit Sharing Plan (Offset): Layne Verebay, Esq. of Freedman & Verebay, P. A., Miami, FL. For Respondent, Calton & Associates, Inc. ("Calton") and Br

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02653 Stanley George, claimant vs. Continental Broker-Dealer Corp. and Greg Lewis, respondents. ATTORNEYS: Claimant appeared pro se, Rapid City, SD. For Respondents appeared Dominick Bianco, Chief Compliance Officer of Continental-Broker Dealer Corp., Carle Place, NY. DATE FILED: May 21, 2001 CASE SUMMARY: Claimant alleged respondents purchased securities without his authorization

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leonard D. & Helen Kraus TTEES/FBO Kraus 93-02888 Name of Respondent Wedbush Morgan Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1993, Claimants Leonard D. and Helen Kraus, who appeared Pro Se, alleged that Respondent Wedbush Morgan Securities failed to disclose

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Robert B. and Leitha C. Shearer 93-02996 Name of Respondents) Merrill Lynch, Pierce, Fenner & Smith Inc Morris R. Copeland G. Thomas Stokes The Claimants appeared pro se. For Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc., Morris R. Copeland and G. Thomas Stokes: Gregory J. Giomelli, Esq. of the law firm of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bob Kirchoff 93-02994 Name of Respondent Adam Scott Kriftcher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 2, 1993, Claimant Robert G. Kirchoff, who appeared Pro Se, alleged that Respondent Adam Scott Kriftcher purchased for his account a 1000 share block of Lotus Development