N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05725 Oriane De Straschnov, claimant v. Merrill Lynch Pierce Fenner & Smith Inc, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - located in Scottsdale, AZ. For Respondent appeared Kevin P. Kane, Esq. located in New York, NY. DATE FILED: 12/24/96. CASE SUMMARY: Claimant alleged failure to follow directions by exchanging into the wrong mut

* ^ N,A,S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05719 Kevin E. Bender, claimant vs. Rondo Omar Hosang, Norfolk Securities Corporation n/k/a Cressida Capital, Ian Richard Hosang and Jeffrey Van Blarcom, respondents. ATTORNEYS: Claimant appeared Pro Se - Tulsa, OK. Respondents Rondo Omar Hosang, Norfolk Securities Corporation n/k/a Cressida Capital and Ian Richard Hosang, did not respond to the Statem

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant J & K International Trading Corporation and 96-05713 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES J & K international Trading Corporation ("Claimant") was represented by Harry S. Miller, Esq. and Matthew J. Tuttle, Esq., Perkins, Smith & Cohen, LLP., Boston, Massachusetts. Merrill

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Valentine Beskin 96-05716 Name of Respondents Fahnestock & Co., Inc. Andrew G. Sukhin REPRESENTATION Claimant Valentine Beskin ("claimant") appeared pro se. For Respondent Fahnestock & Co., Inc. ("Fahnestock") appeared Eric J. Schames, .Chief Legal Officer for Fahnestock located in New Yoik, New Yoik. For Respondent Andrew G. Sukhin ("Sukhin") appeared Elizab

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael D. Chermak 96-05714 Name of Respondent Kensington Wells, Inc. CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on December 24 r 1996, claimant Michael Chermak ("claimant"), who appeared Pro Se, alleged that respondent Kensington Wells, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01410 Vincent M. Rodriguez, claimant vs. Charles Schwab & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Pembroke Pines, FL. For Respondents appeared Beth Greenspan, Esq., in-house counsel, San Francisco, CA. DATE FILED; March 20, 2001 CASE SUMMARY: Claimant alleged that respondent did not process a trade to close the position of his DCX stock as requested by the claimant.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Bel ween Norcell D, Hayxvood Claimant, and No. %-057l2 International Assets Advisory Group Respondent. REPRESENTATION OF PARTIES Claimant, Norcell D. Haywood. was represented by Sally C. Hclppie. Esquire and David R. Gibson. Esquire of Bell £ Nunnally. PLLC located in Dallas, Texas. Respondent. International Assets Advisory Corporation ("International Asset

AWARD In the Matter of the Arbitration Between Laura Taylor, Claimant. v. Case Number 96-05711 Josephthal Lyon & Ross, Inc. Respondent. REPRESENTATION OF PARTIES Claimant, Laura Taylor was represented by Douglas R. Little, Esquire, Sole Practitioner, located in Houston, Texas. Respondent, Josephthal Lyon & Ross, Inc. was represented by Brian J. Neville, Esquire of Josephthal Lyon & Ross, Inc. located in New York, New York. CASE INFORMATI

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Avraham Balaban NASD CASE NO. 96-05710 Names of Respondents GKN Securities Corp., Eric Johnson and Edward Gallagher For Claimant: Stephen D. Spivey, Esq., Ocala, Florida. For Respondents GKN Securities Corp. ("GKN") and Edward Gallagher ("Gallagher"): Originally Katherine Nathan, Esq., Vice President of GKN Securities Corp, On November 20, 1998, NASD Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Adal, Cheyenne Management Inc., and Paradise Service Bureau Inc., (Claimants) vs. Smith Barney Inc. and Anthony Vaccaro, (Respondents) Case Number: 96-05709 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Kenneth Adal ("Adal"), Cheyenne Management Inc. ("Cheyenne"), and Paradise Service Bureau Inc. ("Paradise"), hereinafter collectively referred to as "C