N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nanje of Claimant? Arthur and Jane Boneberg 92-03085 Namg of Respondents Investacorp, Inc. Alan Weinberg Weinberg Financial Group REPRESENTATION For Claimants: Jeffrey A. Sellers, Esq. of Silverberg, Yood, Sellers & McGorry For Respondents: Alexander Bono, Esq., in-house counsel of Investacorp, Inc. CASE INFORMATION Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert A. and Ruth A. Wallace No. 92-03084 Name of Respondents Kidder, Peabody & Co., Incorporated Richard J. Kirsch REPRESENTATION OF PARTTKS For Claimants: Mark E. Maddox, Esq., of Coons, Maddox & Koeller, Indianapolis, Indiana. For Respondents: Richard Kelly, Esq., of Kidder, Peabody & Co., Incorporated, New York, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION QP SECURITIES DEALERS In the Matter of the Arbitration Between ft o Louise Brock NASD Arbitration No. 92-03083 Name National Securities Corporation For Claimant: Louise Brock - En Pro Se For Respondent: Mark Roto, Esq. - National Securities Corp. - Seattle, Wa. CASE INFOft]Vf ATTOft Statement of Claim filed: September 15, 1992 Claimant's Submission Agreement signed: September 10, 1992 State

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernard W. Lifka 92-03072 Name of Respondents J.W. Gam & Associates. Inc. Troy Lowman CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on September 14. 1992. Claimant Bernard W. Lifka. who appeared Pro Se, alleged that in February 1992 be opened an account with Respondent J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTO In the matter of the Arbitration Between Name of Clifford Reese NASD Arbitration No.92-03066 if Resnondentf si Paulson Investment Company, Inc. Robin Edwards For Claimant: Thomas K. Coan, Esq., Portland, Oregon For Respondent Paulson Investment: Keith A. Ketteriing, Esq., Stoli, Stoll, Berne & Lotting, P.C., Portland, Oregon Respondent Robin Edwards represented himself. CASE INFORMA

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS hi the Matter or the Arbitration Between Name of Claimant Erie Family Life Insurance Co. 92-02944 Name of Respondent!si lerry E. Gretzinaer Thomas A. James REPRESENTATION For Claimant: Jan R. Van Gorder. Esq.. of Erie Family Life Insurance Co. For Respondent: Kevin A. Carreno. Esq.. of Raymond James & Associates. CASE INFORMATION Statement of Claim filed: Aug. 31. 1992 Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name o Stephen D. Tracy 92-02976 Name of Respondents Oppenheimer & Co., Inc. and Dwight Badger ttl£PR]Efi]ENTATION OF PARTIES For Claimant at the hearing: Andrew J. Munro, Esq. of Munro and Munro, Troy, Michigan. For Respondents at the hearing: Lee Ann Russo, Esq. of Jones Day Reavis & Pogue, Chicago, Illinois. CASE INFORMATION Statement of Claim filed: September 3, 1992. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02453 Charles Schwab & Co., Inc., claimant vs. Ed Irenio Cobangbang, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, Esq., in-house counsel, San Francisco, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: May 10, 2001 CASE SUMMARY: Claimant alleged that respondent sold 800 shares of MXIM that were not in his account creating a short sel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Mabel Rogers and 92-02974 Name of Respondent Robert W. Baird & Co.. Inc. REPRESENTATION OF PARTIES Claimant Mabel Rogers was represented by Nicholas P. .lavarone, Esq. of Bellows and Bellows, Chicago, Illinois. Respondent Robert W. Baird & Co.. Inc. was represented by Deborah J. Fabritz, Esq. of Robert W. Baird & Co.,

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Bieber-Taki Associates vs. Case # 92-02971 Name of Respondents MMAR Group, Inc. Cory Miner Paul Brown REPRESENTATION For Claimant: Frederick E. Smithline, Esq. and Brian Greenman, Esq. of the firm Epstein, Becker & Green. For Respondent: Richard P. Schultz, Esq. of MMAR Group, Inc. CASE INFORMATION Stat