AMENDED AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Baraban Securities Incorporated v. - . Arbitration No. 96-03555 Name of Respondents Western International Securities, Jon Hogen, Scott Werner, Hans Aebischer, Andrew Lais, Martha Thompson, Vincent Anthony Free, Donald Michael Bizub, Curtis Alan Roberts, and Charles Alexander Wright v. Name of Third Parry Res

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Baraban Securities Incorporated v- Arbitration No. 96-03555 Name of Respondents Western International Securities, Jon Hogen, Scott Werner, Hans Aebischer, Andrew Lais T Martha Thompson, Vincent Anthony Free, Donald Michael Bizub, Curtis Alan Roberts, and Charles Alexander Wright v. Name of Third Party Respondent

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Balbir S. Kamal Claimant NASD Regulation, Inc. v. No. 96-03553 Nancy Sun Respondents REPRESENTATION OF PARTIES Balbir Kamal ("Claimant") represented himself pro se. Nancy Sun ("Sun") represented herself pro se. Jane Ying ("Ying") represented herself pro se. CASE INFORMATION Claimant's Statement of Claim was filed on or about August

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steve Tirrell 96-03547 Name of Respondents Damiano Coraci Global Equities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1996, claimant Steve Tirrell ("claimant"), who appeared Pro Se, alleged that in July 1996, Richard Sharkey ("Sharkey") of respondent Glob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rauf Diab 96-03546 Name of Respondent E*Trade Securities, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 16, 1996. claimant Rauf Diab ("claimant") who appeared Pro Se, alleged that he purchased put options through respondent E*Trade Securities, Inc. ("E*Trade"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert A. and Ellen M. Doratz 96-03545 Name of Respondent Jeffrey S. Stone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1996, claimants Robert A. and Ellen M. Doratz ("claimants"), who appeared Pro Se through Robert A. Doratz ("claimant"), alleged that respondent Jeffrey S.

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Constance Sandorff William Sandorff 96-03544 Name of Respondents Morehead Investment Advisors, Inc. De Rand/Pennington/Bass Inc. George E. Brooks REPRESENTATION Claimants Constance and William Sandorff ("Claimants") were represented by William B.L. Little, Esq., of Little & Little, PLLC, Raleigh, NC. Respondent

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Raymond C. Robinson, Claimant, and No. 96-03539 NationsSecurities, Respondent. REPRESENTATION OF PARTIES Claimant, Raymond C. Robinson, was represented in pleadings pro se, and at the hearing by James C. Robinson, Jr., Esquire of Law Offices of Pat Maloney, P.C., located in San Antonio, Texas. Respondent, NationsSecurities, was represented by Rodney

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05159 Fidelity Brokerage Services, LLC, claimant vs. Majed A. Katbi, respondent. ATTORNEYS: For Claimant, Fidelity Brokerage Services, appeared Laurence K. Richmond, Esq., Quincy, MA. Respondent did not respond to the Statement of Claim. DATE FILED: November 21, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed which were credited to his account er

NASD REGULATION STIPULATED AWARD In the Matter of the Arbitration Between Name of .Claimant J.W. Charles Securities, Inc. 96-03528 Name of Respondent Frank Terzo REPRESENTATION For Claimant J.W. Charles Securities, Inc. ("claimant"), appeared Charles Scarlett, Esq.. in- house counsel for claimant. For Respondent Frank Terzo ("respondent"), appeared DominiekJ. Porto, Esq., witftlawoffices located in New York City, New York. Statement of C