NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-05091 Marvin P. Brown, claimant vs. The Investor's Advocate, LLC, and Steve Maczka, respondents. ATTORNEYS: Claimant appeared Pro Se, Craftsbury Common, VT. Respondents appeared Pro Se through Steve Maczka, Grand Blanc, MI. DATE FILED: November 16, 2000 CASE SUMMARY: Claimant alleged that respondents, breached their contractual agreement and failed to repay commissions due him.

V'767/;: N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara A. Ford-Natoli 96-02732 Name of Respondent ^Invest Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1996, Claimant Barbara A. Ford-Natoli ("Claimant"), who appeared Pro Se, alleged that she received an Internal Revenue Service ("IRS")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Orville G. and Carol L. Ransford JTWROS 96-02731 Name of Respondent Josephthal Lyon & Ross Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on June 26, 1996 claimants Orville and Carol Ransford ("claimants"), who appeared Pro Se, alleged that respondent Josepthal, Lyon & Ros

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James M. Moscato, Jr. 96-02727 Name of Respondent Richard Carter CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 16, 1996 James M. Moscato, Jr. ("claimant"), who appeared Pro Se, alleged that he is a disabled veteran living on a fixed income.

NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant fa) G. Bernard Kallio Irene V. Kallio Arbitration No. 96-02718 Name of Respondent(s) Daniel M. Porush REPRESENTATION For Claimants: Thomas J. Flaherty, Esq., Hillsboro, Oregon For Respondent Daniel M. Porush: Mark E. Gelfand, Esq., Hicksville, New York CASE INFORMATION Statement of Claim filed: August 20, 1996 Amended Statement of Claim filed: Mar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Offerman & Company Incorporated Name of Respondent Ronald G. Salyer 96-02716 © National Association of Securities Dealers. !nc. ** ~ 19% AU Rights Reserved CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on June 25, 1996, Claimant Offerman & Company Incorporated ("Claim

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) David Vargas Arbitration No. 96-02715 Name of Respondentfs) Wedbush Morgan Securities, Inc, Marie Eaton REPRESENTATION For Claimant: Edward T. Monks, Esq., Morrow, Monks & Sharp, .R^C;,- Eugene, Oregon ; " For Respondents: Charles F. Hudson, Esq., Lane Powell Spears Lubersky LLP, Portland, Oregon CASE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant George V. Daniels 96-02713 Name of Respondents Smith Barney, Inc, The Robinson-Humphrey Co., Inc. REPRESENTATION Claimant George V. Daniels ("Claimant") was represented by Andrew P. Campbell, Esq., Campbell & Waller, Birmingham, AL. Respondents The Robinson-Humphrey Co., Inc. ("RH"), a subsidiary

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Shirley Leshowitz Sylvia Heller 96-02709 Name of Respondents Greystone Associates Howard C. Zelin Maidstone Financial Inc. National Financial Services Corp. REPRESENTATION Claimants appeared pro se. For Respondent, National FinaJ^FServices Corp., appeared, Michael G. Shannon, Esq., from the law firm of Phillips, Lytle,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of (Tiaimant Michael E. Friedman Name of Respondents Lew Lieberbaum & Co., Inc. Elliot Gayer Indra Ramsahai 96-02708 REPRESENTATION For claimant Michael Friedman ("Claimant") appeared Jason Friedman a sole practioneer located in Brooklyn, New York. For respondents Lew Lieberbaum & Co. ("Lieberbaum"), Elliot Gayer ("Gayer"), and Ind