N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claim Jacques J. Roomans 95-04223 Name of Respondentfs) C? National Association of Bear Stearns & Company Securities Dealers. Inc. All Riglus Reserved REPRESENTATION For Claimant appeared John T. Morin, Esq. of Wormser, Kieiy, Galef & Jacobs located in New York, New York. For Respondent appeared James, M^Hubbe^ J in New; Ypr

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jacob Berdah 95-04220 Name of Respondents Smith Barney Shearson, Inc. Wesley McKenney REPRESENTATION For Claimant Jacob Berdah ("claimant") appeared Cheryl Dresner, Esq. and Ron Dresner, Esq. of the law firm Dresner & Henle located in New York, New York. For Respondent Smith Barney Shearson, Inc. ("Smith Barney") appeared S

95-04219 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corporation Name of Respondent Susan Jeanette Reynolds REPRESENTATION For Claimant: David S. Smith, Esq. of the law firm of Smith, Campbell & Paduano, New York, New York. For Respondent: Michael C. Addison, Esq., Tampa, Florida. ;\ : sgkjfts** stv-* ;^^-A ^vur..^:^. • CASE INFORMATION "

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of" the Arbitration Between Name of Claimants Jerry and Linda Kasinger 95-04214 Name of Respondent First Hanover Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September. 5^ 1995, Claimants Jerry and Linda Kasinger ("Claimants"), who appeared Pro Se, alleged that RespofKteni^s h,\ First Hanover Securities, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01961 Randy Azarian, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Mountain View, CA. For Respondent appeared Robert K. Crowe, Esq., in-house counsel, San Francisco, CA. DATE FILED: April 18, 2001 CASE SUMMARY: Claimant alleged that respondent made unauthorized trades and were negligent in processing the sale of his post-split INTEL shares

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Doris M. Brennenman Case No. 00-00778 Names of Respondents Roger Jack Mouallem Martin Irwin Schaffer REPRESENTATION OF PARTIES Doris M. Brenneman ("Brenneman"), hereinafter referred to as "Claimant," appeared pro se. For Respondent Roger Jack Mouallem ("Moullam"): Delmer C. Cowing, III, Esq., Delray Beach, Florida. For Respondent Martin Irwi

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Roney & Co., Claimant and Counter-Respondent, v. No. 95-04206 Robert N. Sheppard Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Roney & Co. ("Claimant") was represented by Raymond W. Henney, Esquire of Honigman Miller Schwartz & Cohn located in Detroit, Michigan. Respondent and Counter-Claimant Robert

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Stephen S. & Karen S. Olds Name of Respondent Lew Lieberbaum & Company, Inc. v. NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 95-04205 For Claimants: For Respondent: Statement of Claim filed: REPRESENTATION Robert A. Graham, Esq. Arcadia, California Brian B. Graifman, Esq. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George A. Spengler 95-04204 Name of Respondent James E. Rooney (withdrawn) John W. Nolan, II CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on September 1, 1995, claimant George A. Spengler ("claimant"), who appeared Pro Se, alleged that respondent John W. Nolan, II, a brok

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ingrid Osterheider 95-04202 Name of Respondents Oppenheimer & Co., Inc. James W. McMackin CASE SUMMARY * In a claim filed with the National Association of Securities Dealers, Inc. on September I, .1995, .Claimant,-. Ingrid Osterheider ("Claimant"), who appeared Pro Se, alleged that Respondents Oppei&eimfer:dbGai#c Inc.