AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Louis Nolan Miller and Case Number: 02-02830 Hearing Site: Houston, Texas Name of Respondent Tim Satre NATURE OF DISPUTE Associated Person v. Associated Person REPRESENTATION OF PARTIES Louis Nolan Miller ("Claimant") was represented by Bruce Gregory, Esq., and Harry Wright, Esq., The Law Office of Bruce Gregory, P.C., Port Neches, Texas. Tim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wesley Lund, Lilly Lund, Gordon A. Mowat, Paul W. Muma, Clarence Roe, Jr., Elsie M. Roe, Edwin Ness, Judith Ness, Arnold Ness, and Roberta Bryan, Claimants v. RBC Dain Rauscber, Inc., Wayne A. Josephson, Nelson D. Civello, and Linda Lee Henderson, Respondents Case Number: 00-03800 Hearing She: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Perso

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02366 Richard Joseph McDermott Names of the Respondents Hearing Site: Tampa, FL Matthew B. Meister Kashner Davidson Securities Corporation Doyle Scott Elliott REPRESENTATION OF PARTIES For Richard Joseph McDermott, hereinafter referred to as "Claimant": Constantino W. Papas, Esq., Gray Harris Robinson Shackleford Farrior, Tampa, FL. For Respondents

N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant J. Edmund & Co. and Name of Respondents VTR Capital. Inc. Regis D. Dahl Name Qf ClflillHnff VTR Capital, Inc. Regis D. Dahl and Name of Respondents J. Edmund & Co. Jelco, Inc. and John E. Ligums 93-OOOIV' (Consolidated with 93-00105) 93-00105 OF PARTTTTj; J. Edmund & Co., Jelco. Inc., a

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Brent Berti CASE 97-00095 Name of Respondent Waterhouse Securities, Inc. REPRESENTATION Claimant Brent Berti ("Claimant") appeared pro se. Respondent Waterhouse Securities, Inc. ("Respondent") was represented by Arnold J. Feist, Waterhouse Securities, Inc. CASE INFORMATION The Statement of Claim w

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05048 PaineWebber, Inc., claimant vs. Olusegun B. Matthews, respondent. ATTORNEYS: For Claimant PaineWebber, Inc. appeared in-house counsel, Stephanie Morse-Shamosh, Esq., Weehawken, NJ. Respondent appeared Pro Se, Houston, TX. DATE FILED: November 12, 1996 CASE SUMMARY: Claimant alleged that respondent's voluntary resignation triggered a debt for a dr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Betty Murphy & Brian Murphy 95-01720 Names of Respondents Noble Investment Company of Palm Beach Jeffrey Schuler REPRESENTATION For Claimants, Betty Murphy and Brian Murphy ("the Murphys"): Robert Wayne Pearce of Lemer & Pearce, Fort Lauderdale, FL. For Respondent Noble Investment Company of Palm Beach ("Noble"): Cory B.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00678 Matthew E. Just, Jr. Name of the Respondents Hearing Site: Chicago, Illinois Stifel, Nicolaus & Co., Inc., Dalyne L. Shinneman, Michael E. Schenone, Kathleen S. Michael, David M. Hogan, and Edward L. Poth REPRESENTATION OF PARTIES Claimants Matthew E. Just, Jr. ("Just") Michael J. Gaertner, Esq. of the firm Lord, Bissell

cl AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert J. Shepard v. Arbitration No. 96-05804 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Robert J. Shepard ("Claimant") represented himself pro se. Charles Schwab & Co., Inc. ("Respondent") was represented by Gregory M. Scanlon, Esq., Charles Schwab & Co., Inc., San Francisco, California.

NASD DISPUTE RESOLUTION AWARD NASD DISPLTE RESOLUTION. INC. CASE: 00-02071 Kenneth J. Rampino and Susan M. Rampino, claimants vs. American Securities and Research Corp., Henry Diamond and Securities America, Inc., respondents. ATTORNEYS: For Claimant appeared Stephen R. White, Esq., Warwick, RI. Respondent American Securities and Research Corp. did not respond to the Statement of Claim. Respondent Henry Diamond appeared Pro Se, Providence, RI. Respo