N.A.S D AWARD NATIONAI AQgnriATTON OF SECURITIES DEALERS. TNr In the matter of the Arbitration Between Name nf Claimant David R. Robinson vs. NASD Arbitration No. 9504201 Name nf Respondent La Jolla Capital Corporation v. ;: : ' REPRESENTATION For Claimant: Andy Cook, Esq., San Diego, California For Respondent: James C. Weaver, Esq., San Diego, California ., CASE INFORMATION Statement of Claim filed: August 3 1,1995 Claimant'

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Nicholas Crupi 95-04200 Name of Respondents A.G. Edwards & Sons, Inc. Fred Brickel REPRESENTATION For claimant Nicholas Crupi ("claimant") appeared W. Randolph Kraft, Esq., a sole practitioner located in Jersey City, New Jersey. For respondents A.G. Edwards & Sons, Inc. ("A.G. Edwards") and Fred Brickel ("Brickel") (collectively referred to as the "respondent

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Incorporated and Case Number 95-04 195 Name of Resnondent Michael L. McDonald ", (i ; . , REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Janiece M. Longoria, Esq. of Andrews & Kurth located in Houston, TX. Michael L. McDonald ("Respondent") appeared pro se'. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas W. and Bernice W. Porter, Leticia Holt, Custodian for Zachary Holt, Leticia Holt, Dan Holt, Custodian for Jacob Holt, and Dan Holt 9504193 Names of Respondents (pixi..- i* r © National Association oi Securities Dealers. Inc. ^NationsSecurities, Inc. and Ted Kelly Smith A J A Claimants were re

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Nancy Smith Claimant, v. No. 95-04191 Smith Barney, Inc., and Erik Littlejohn Respondents. REPRESENTATION OF PARTIES Claimant Nancy Smith ("Claimant") was represented by Michael Farrell, Esq. of The Kullman Firm, located in Jackson, Mississippi. Respondents Smith Barney, Inc. ("Smith Barney") and Erik Littlejohn ("Littlejohn") (collectiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01945 Guido Grassi, claimant vs. Preston Langley Asset Management, Inc. and Christian W. Blake, respondents. ATTORNEYS: For Claimant appeared Thoamas J. DelPup, Esq., Rochester, MI. Respondent Preston Langley Asset Management, Inc. did not appear. Respondent Christian W. Blake did not respond to the Statement of Claim. DATE FILED: April 17, 2001 CASE SUMMARY: Claimant alleged r

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Louis Green Claimant, v. No. 95-04190 Prudential Securities, Inc. Respondent. REPRESENTATION OF PARTIES Claimant Louis Green ("Claimant") was represented by James C. Steffi, Esq. of Lebow & Tobin located in Farmington Hills, Michigan. Respondent Prudential Securities, Inc. ("PSI") was represented by Patrick Gaffiiey, Esq. of Prudential S

CONSENT AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant OPPENHEIMER & CO., INC. 95-04186 Name of Respondent THOMAS ROHRER REPRESENTATION For Claimant: Oppenheimer & Co., Inc. was represented by Joseph F. Keenan, of Bochat & Keenan, P.C., located in Garden City, New York. For Respondent: Thomas Rohrer appeared pro se. CASE INFORMATION State of Claim filed: August 31,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-04183 Name of Respondent Execu-Tech Management Group Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 31, 1995, Claimant PaineWebber, Inc. ("Claimant"), through its representative and in-house counsel, Evan J. Charkes, Esq., alleged that Respondent Exec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. Tiernan 95-04182 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim: ftletfiv^im,-thejRational Association of Securities Dealers, Inc. on August 31, 1995Cbumant^>%ul-t Jamesl, Tiernan ("Claimant"),who appeared Pro Se, alleged that Respondent Dean Witter Rey^liiiJiScv^ui/^f'Tl ("Respondent") improperly