PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene Forsyth 92-03931 Name of Respondent Norman Sheff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1992, Claimant Eugene Forsyth, who appeared Pro Se, alleged that on October 23, 1991 and October 24, 1991 Respondent Norman Sheff, the principal of Noibert As

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Terri J. Meador and 92-03930 Name of Respondents Lovett Underwood, Neuhaus & Webb, Inc.; Kemper Securities, Inc. Paul Mahachek REPRESENTATION OF PARTIES Terri J. Meador ("Claimant") was represented by Robert W. Hammer, Esq., Fort Worth, Texas. Lovett Underwood, Neuhaus & Webb, Inc., Kemper Securities, Inc. and Paul Ma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-05014 Baruch Bentov and Leslie Parker, claimants vs. Charles Schwab & Co.» Inc., respondent. ATTORNEYS: For Claimants appeared Steve Buchwalter, Esq., Encino, CA. Respondent appeared through its in-house counsel, Amir Tadjedin, Esq., San Francisco, CA. DATE FILED: November 13, 2000 CASE SUMMARY: Claimant alleged that respondent acted in violation of the Securities Act of 1934; negli

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard M. Deutsch Patricia Sticht 92-03923 Name of Respondents J.W. Charles Securities Inc. Charles W. Johnson REPRESENTATION « For Claimants, Richard M. Deutsch ("Deutsche") and Patricia Sticht ("Sticht"): Jim Scutti, Esq. For Respondents; J.W. Charles Securities Inc. ("JWC") and Charles W. Johnson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Steve Campbell and Sharon Campbell 92-03915 Name of Respondent Consolidated Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 18, 1992, Claimants Steve & Sharon Campbell, through their counsel, Allen N. Smith, Jr., Esq. of Smith & Redford, Indianapolis

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maucr tit the Arbitration Between Name of Claimant(s) Ruth W. Levinstein 92-03911 Name of Respondent^) Shearson Lehman Brothers, Inc. Alex Karkenny REPRESENTATION For Claimant Ruth W. Levinstein: Stanley R. Kotzen, Esq. of the law firm of Eckell Sparks Levy Auerbach Monte Moses. For Respondents Shearson Lehman Brothers and Alex Karkenny: John P. Bevilacqua, E

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward J. Widmer 92-03910 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION The Claimant Edward J. Widmer ("Widmer") appeared pro se. For Respondent Charles Schwab & Co, Inc. ("Schwab"): Stephen Kennedy. CASE INFORMATION Statement of Claim filed: November 17, 1992. Claimant's Submission Agreeme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Script Office Supply, Inc. and 92-03908 Name of Respondents Stratton Oakmont, Inc. and George Greco REPRESENTATION OF PARTIES Script Office Supply, Inc. ("Claimant") was represented by Donald C. Templin, Esq. of Haynes And Boone, L.L.P., Dallas, Texas and Larry Glazner, Esq., Levelland, Texas. Stratton Oakmont, Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Frank A Perreten, ttee. and 92-03907 Name of Respondents Unex Capital Corporation, Finley H. Mattel, and Lawrence R. Hazlewood OF PARTIES Frank A Perreten, ttee. ("Claimant 11 ) appeared pro se. Finley H. Martel ("Martel") appeared pro se telephonicaUy. Respondents Unex Capital Corporation and Lawrence R. Hazl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Reuel Family Trust u/a/d 9/12/86 92-03903 Name of Respondent RSR Capital Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1992, Claimant Reuel Family Trust, who appeared Pro Se, alleged that Respondent RSR Capital Group, Inc. recommended it invest in TDM Partici