AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol Monahan vs. #96-05424 Name of Respondents James J. Lennon Alex Brown & Sons, Inc. REPRESENTATION OF PARTIES Claimant Carol Monahan ("Claimant") was represented by Steven H. Berkowitz, Esq., Moore & Berkowitz, Southhampton, PA. Respondents Alex Brown & Sons, Inc. ("Alex Brown") and James J. Lennon ("Lennon") were re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01381 Florence Levis and Ruth Haas, claimants vs. Bane of America Investment Services, Inc. and Charles Cook, respondents. ATTORNEYS: For Claimants appeared Sheldon M. Jaffe, Esq., Los Angeles, CA. For Respondents appeared Andrea Hackett Henningson, Esq., of the firm Steefel Levitt & Weiss, P.C., San Francisco, CA. DATE FILED: March 20, 2001 CASE SUMMARY: Claimants alleged that

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Shalhon, (Claimant) v. Gilford Securities, Inc., Carlos Cespedes, Stephen DeGroat, and Solomon Sharbat, (Respondents) Case Number: 96-05422 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jack Shalhon, hereinafter referred to as "Claimant": Timothy J. Dennin, Timothy J. Dennin, P.C., New York, NY. Respondents, Gilford Securities, Inc. ("Gilfo

\Q\ • < vv v N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Edwin Zaharatos and Thelma Zaharatos NASD CASE NO, 96-05420 Name of Respondent Prudential Securities Incorporated REPRESENTATION For Claimants: Lawrence L. Klayman, Esq. of Lawrence L. Klayman, P.A., Boca Raton, Florida. For Respondent: V. Michael Arias, Associate General Counsel, Vice President of Prudent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estelle Markham 96-05414 Name of Respondents Christopher Trina Sovereign Equity Management Corp. REPRESENTATION For Claimant Estelle Markham ("Markham"): Stephen D. Spivey, Esq. of the Law Offices of Stephen D. Spivey, P.A., Ocala, Florida. For Respondent Christopher Trina ("Trina"): George L. Guerra, Esq. of Fowler, White,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant DeWayne H. Walker and 96-05413 Name of Respondent Kirk Ruffler REPRESENTATION OF PARTIES DeWayne H. Walker ("Claimant") appeared pro se. Kirk Ruffler ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or about December 6, 1996. Submission Agreement of Claimant DeWayne H. Wa

In the Matter of the Arbitration Between & / ^- •-• Name of Claimant Investech Capital Corp. 96-05411 Name of Respondent Maurice A. Rappaport REPRESENTATION For Claimant Investech Capital Corp. ("Investech"): Jason W. Peck, Esq. of Lennard Peck, LC, Atlanta, Georgia. Respondent Maurice A. Rappaport ("Rappaport") appeared pro se. CASE INFORMATION Statement of Claim filed: December 1, 1996! i Claimant's Submission Agreement/Corporate Ackno

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03928 Maxim Group LLC, Claimant v. Alain Richard Lustig, Respondent. ATTORNEYS: Claimant, Maxim Group LLC, ("Claimant"), appeared through their in-house counsel, James E. Siegel, Esq., New York, NY. For Respondent, Alain Richard Lustig, ("Respondent"), appeared Brendan R. Marx, Esq., New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 30, 2003 CASE SUMMAR

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03927 Richard L. Earner Trust, Claimant v. TD Waterhouse Investor Services, Inc., Respondent. ATTORNEYS: Claimant, Richard L. Earner Trust, ("Claimant"), appeared pro se through its Trustee, Richard L. Earner, Hunt, TX. Respondent, TD Waterhouse Investor Services, Inc., ("Respondent"), appeared through their in- house counsel, Janis Campanella, Esq., Boca Raton, FL. NATURE OF DISPUTE: Cu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tammy Lynn Johnson and Tammy Lynn Johnson IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Joseph M. Fitzpatrick, and Clarence I. Seese (Respondents) Case Number: 03-03926 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Tammy Lynn Johnson ("Johnson") and Tammy Lynn Johnson IRA