N.A.S.D. REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Exchange Management Company, Inc 96-00028 Name of Respondents Gilford Securities, Inc, REPRESENTATION Claimant Exchange Management Company, Inc. ("claimant") was represented by Jeffrey F. Montgomery, Esq. of Gushing, Morris, Ambruster & Jones, LLP, located in Atlanta, GA, Respondent Gilford Securities, Inc. ("respondent") was represented by Joel Levinson, Esq.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Gino Carosella and Helen Carosella 96-00027 Name of Respondent Smith Barney, Inc. REPRESENTATION Claimants Gino Carosella and Helen Carosella ("Claimants") appeared pro se. Respondent Smith Barney, Inc. ("Respondent") was represented by Etta M. Gumbs, Esq., Smith Barney, Inc., New York, New York.

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Max & Rita Hershey 96-00025 Name of Respondents Reece E. Mustek Chemical Investment Services Corp. REPRESENTATION For Claimants Max and Rita Hershey ("Claimants") appeared Joseph Trotti, Esq., a solo practitioner located in Bayside, New York. For Respondents Chemical Investment Services Corp. ("CIS"), and Reece E. Musick ("

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gerald C. and Sandra D. Doran, William M. & Patricia R. Dolan and 96-00024 Name of Respondent Hamilton Investments, Inc. Principal Financial Securities, Inc. Todd Robert Andersen REPRESENTATION OF PARTIES Gerald C. and Sandra D. Doran ("Claimants Doran"), William M. & Patricia R. Dolan ("Claimants Dolan") (collectively a

A „ ORIGINAL Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Melanie Gartenbaum, Claimant v. Scottrade, Inc. and Peter James Horsfield, Respondents Scottrade, Inc., Counterclaimant v. Melanie Gartenbaum, Claimant/Counter Respondent Case Number: 01-01131 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter Respondent, Melanie Gartenbaum : Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Harold P. Stanley, Claimant, vs. 96-00019 Monroe Parker Securities, and Edward Albano, Respondents. REPRESENTATION OF PARTIES Claimant Harold P. Stamey ("Claimant") appeared on his own behalf Respondents Monroe Parker Securities ("MPS"), and Edward Albano ("Albano") (jointly referred to as Respondents") were represented by Marc Ross, Esq., o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Jimi S. Sidhu v. Name of Respondents Olde Discount Corp. and Aleksey Zhuk For Claimant: For Respondent: REPRESENTATION Jonathan Evans Jonathan Evans & Associates Los Angeles, California Lisa Fildes, Esq. Olde Discount Corporation Detroit, Michigan CASE INFORMATION Statement of Claim filed:

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jerrold B. Feldman Claimant NASD Arbitration v. No. 96-00016 Brown & Company Securities Corporation Respondent REPRESENTATION OF PARTIES Jerrold B. Feldman ("Claimant") was represented by Martin R. Deutsch, Esq., Singer & Deutsch, San Jose, California. Brown & Company Securities Corporation ("Respondent") was represented by Susan M. Boudrot,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Ronald I. Palluth and Erika M. Palluth, Claimants, and No. 96-00013 W.B. McKee Securities, Inc. and DeedraK. Brown, Respondents, REPRESENTATION OF PARTIES Claimants Ronald I. Palluth and Erika M. Palluth were represented by Rick L. Lambert, Esquire and Jerry Alexander, Esquire, both of Passman & Jones, located in Dallas, Texas. Respondent W.B. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Judy Wong (Crump) Name of Respondents Invested! Capital Corp. Scott M. Symons Charles G. Maton Investech Agency Inc. 96-00011 REPRESENTATION For Claimant: Albert A. Rapoport, Esq., Boca Raton, Florida. For Respondents Investech Capital Corp., Investech Agency, Inc. and Charles G. Maton: J. Houston Lennard, P.C., Atl