N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Gregory Oliver 95-04754 Name of Respondents Metropolitan Life Insurance Co. Michael Schlegel REPRESENTATION Claimant Gregory Oliver ("Claimant") was represented by Morgan L. Bentley, Esq., Newark, New Jersey. Respondents Metropolitan Life Insurance Company ("MetLife") and Michael Schlegel ( Schlegel) w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS tn the Matter of the Arbitration Between Name or' Claimant Mary C. Sobon Name of Respondent Katharine R. McLernon 95-4H753 CASE SUMMARY Dealers, Inc. on October 9, ' appeared Pro Se, alleged that Respondent Katherine ("Respbndem"), v vi)hile irfepresfnuhg Empire Financial Services, recbmmended that she Vaiuemark II ("FVM") which she followed to her detriment. Claimant fart

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William M. Hauser, and Cynthia M. Hauser, Claimants, v. No. 95-04751 OLDE Discount Corporation, Respondent, REPRESENTATION OF PARTIES William M. Hauser, and Cynthia M. Hauser ("Claimants") were represented by William M. Hauser. OLDE Discount Corporation ("Respondent") was represented by Timothy L. Isom, Esq., of OLDE Discount Corpor

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marlene A. Messin Claimant, v. No. 95-04749 Kidder, Peabody & Co., Inc. £• National Association of Securities Dealers, Inc. Respondent. All Rights Reservea REPRESENTATION OF PARTIES Claimant Marlene A. Messin was represented by Seth M. Colton, Esq. and Jarrett B. ^Decker, Esq. of Maun & Simon PLC located in Saint Paul, MN. ; • ; s

N.A.SD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Principal Financial Securities, Inc. 95-04743 -„ . IA . . S> National Association of Securities Denh- Thomas Rohrer AH Rights Reserved REPRESENTATION PRINCIPAL FINANCIAL SECURITIES, INC. ("Claimant") was represented by Martin R. Castro, Baker & McKenzie, Chicago, Illinois. THOMAS ROHRER( M Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-01992 GKN Securities Corp., claimant vs. Miguel Ocasio, respondent. ATTORNEYS: ' For Claimant appeared Michael S. Colombo, Manager, National Collections Department, New York, NY. Respondent appeared pro se, Margate, FL. DATE FILED: April 19, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay monies owed on his Promissory Note. Claim Data Award Data Claim: $3

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janney Montgomery Scott, Inc.., Claimant v. Neil Fineman, Respondent Case Number: 00-0782 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: Lionel G. Hest, Esq. Fulbright & Jaworski L.L.P. 666 Fifth Avenue New York, NY 10103 For Respondent: Anthony Paduano, Esq. Smith Campbell & Paduano One Whitehall Street New York, NY 10004 unt

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Glen Swartz and Eugene Stombler, Claimants and Counter-Respondents, and William Allen, Mark Evers, Richard GrifFard, Richard Schauwecker, and David Mulligan, Claimants, and Victoria Montano, Alexander Montano, and Amy Montano % Respondents and Counter-Claimants and Consolidated CaseNos. 95-04735 and95-05927 Daniel C. Montano,

/ •\ AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David Churchill and 9504729 Name of Respondent < t,y- ; < ^r- v "•; :-i;on of r .... I ,.,..,- Charles Schwab & Co., Inc. """" "^ ^ " :1 " REPRESENTATION OF PARTIES David Churchill ("Claimant") was represented by J. Leo Federman, Investors Rights Association; Inc., and Dennis G. Merbnbach; Esq., Sa

AWARD NASD Regulation, Inc. Office of Dispute Resolution -,.. . , . . . . 0 r © National Association of Sccumies Dealers. Inc. In the Matter of the Arbitration Between ~~ 19K Ronald D. Miller, All Rights Reserved Claimant, v. No. 95-04728 George G. Hartberg, VRockwell Financial, Inc., ^ Stonebrook Capital, and Anvillar International, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Ronald D, Miller was repres