JJN-03-39 16=06 FROM=NASD REGULATION ID= PAGE 11/16 NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert and Marsha Rosenberg Sayer 96-03527 Name of Respondents Smith Barney, Inc. (n/k/a Saloman Smith. Barney, Inc.) Michael Morris ^PRESENTATION Claimants Robert and Marsha Rosenberg Sayer ("Claimants") were represented by Lawrence F. Ruggiero, Attorney at Law, New

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants'! Christopher Turnbul! (#96-03521) Ann Delaware (#96-03565) v. Award Consolidated Cases Name of Respondent^ #96-03521/#96-03565 La Jolla Capital Corporation Florence Sarah Pollard Daniel Winter Harold B. Gallison, Jr. REPRESENTATION For Claimants: Arthur S. Leider Investors Arbitration Specialists San Diego

MAY.I1.1998 9=53AM NPSD REGULATION FL HQ.3Z4 P. 8 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name David Jeff MarguHes 96-03519 Names- gOiespondents John G, Orosey, Jr. Lehwald, Orosey & Pepe Incorporated For Daimant David Jeff Margulies ("Margultes"): Charles E. Steinberg, Esq. of Stuart, Florida. For Respondents Leawald, Orosey & Pepe, Incorporated ("LOP") and John G. Orosey, J

N.A.S.D. AWARO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard A. Baumer, Sr. & Frances Baumer 96-03513 Name of Respondents Hanover Sterling & Co., Ltd. Peter Palmieri Andrew Gonzales REPRESENTATION For Claimants: Stephen D. Spivey of the Law Offices of Stephen D. Spivey, Esq., Ocala, FL. For Respondent Peter Palmieri; Robert K. Savage, Esq., Tampa, FL. The Respondent Andr

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Norman L. Pasnow, individually and as Trustee of The Norman L. Pasnow Trust & Suzanne H. Pasnow and 96-03508 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Norman L. Pasnow individually and as Trustee of The Norman L. Pasnow Trust & Suzanne H. Pasnow ("Claimants") were represented by Robert H. Winter

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mary M. Rungaitis Mary Rungaitis & Matilda Copeland Richard & Rosina Milne Ervin & Margery Shipman v. 96-3499 Name of Respondents ORDER OF THE Rauscher Pierce Rcfsnes, Inc. ARBITRATION PANEL Leif C. L. Hart wig REPRESENTATION OF PARTIES "Claimants" wererepresented by James C. Frisch of King, Frisch & Allen, P.C., Tucson, Arizona.

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION ARBITRATION AWARD NASD REGULATION. INC. - OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant M2 Software, Inc. NASD Regulation, foe. Office of Dispute Resolution Arbitration No. 96-03496 Name of Respondent Herzog, Heine, Geduld, Inc. REPRESENTATION For Claimant: For Respondent: Statement of Claim filed: David Escamilla M2 Software,

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Gertrude K. Nye v. • • " Arbitration No. 96-03494 Name of Respondent First Southwest Company Name of Third-Party Respondent Lawrence R. Malin REPRESENTATION For Claimant: Michael H. Whitehill, Esq. Kussman & Whitehill. L.P. Los Angeles, California For Respondent: Dee Kelly, Jr.. Esq. Kelly. Hart & Hallman

NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION. INC. CASE: 00-05158 Fidelity Brokerage Services, Inc., claimant vs. Saverio Alfieri, respondent. ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. For Respondent appeared Jack Raines, Esq., of the Law Offices of Jack Raines, Fort Worth, TX. DATE FILED: November 21, 2000 CASE SUMMARY: Claimant alleged that they advise

¥7/206.- NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Helen Ollinger 96-03492 Name of Respondents Smith Barney Inc. Lawrence Basse REPRESENTATION For Claimant Helen Ollinger ("Claimant") appeared James R. DeVita, Esq., a sole practitioner with offices located in New York, New York. For Respondents Smith Barney Inc. ("Smith Barney") and Lawrence Basse ("Basse"), col