N.A.S.D. AWRRD NATIONAL ASSQCIATICN OF SECURITIES DEALERS la the Batter of the Arbitration Between Theodore J. Laski v 91-01806 Thorns F. White & Co. Inc. Kong Go For Claimant: Irwin Stein, Esq. For Respondent: Patrick Baldwin, Esq. Statement of Haim filed: June 11, 1991 Claimant's Submission Agreement signed on: May 21, 1991 Statement of Answer filed by Respondent, Kong Go, on: September 31, 1991 Statement of Answer aT1< * Count

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between! Name o£ Fern Meltzer vs. NASD #91-01801 Name of Respondents Piper , Jaffray & Hbpwood, Inc. Marty Wick vs. Ezric Meltzer - Ihird Party Respondent Fern Meltzer - For Claimant, Ttiird Party Respondent & Cr7 | mt»r-^' i *qT fflri ' an ^- Anita C. Braker, Esq., Chism, Jaoobsoa & Johnson, Seattle, Washington.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Avner Ben Moshe Case No. 91-01800 Name of Respondent s) Smith Barney Harris Upham & Co., Inc. Tevy Wellins Henry Tramazzo REPRESENTATION For Claimant, Avner Ben Moshe, ("Ben Moshe"): Willaim P. Doyle, Esq. of the law office of William P. Doyle. For Respondents, Smith Barney Harris Upham & Co., Inc. ("Smith Barney"), Te

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01792 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs . Gregory B. Innace Respondent CASE SUMMARY PaineWebber, Inc. by its counsel Garry J. Stegeland, Weehawken, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on June ll f 1991, alleged that Respondent Gregory B. Innace has failed to satisfy a debit balanc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04959 Julian and Rosalie Kapalka, Claimants vs. Suretrade, Inc., Respondent. ATTORNEYS: Claimants appeared Pro Se, Havertown, PA. For Respondent appeared Michael R. Parodi, Suretrade, Inc., Lincoln, RI. DATE FILED: November 8, 2000 ARBITRATOR'S REPORT: fees assessed against respondent due to Claimant's understanding that he should "send a new check." CASE SUMMARY: Claimant alle

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant; Siegfried Moreno -Badillo 91-01782 Name of Respondents: PainfiWebber, Inc. Jaf frey Sesnan For Claimant: Claimant appeared pro se at the hearing. For Respondents: Joseph Vallo Esq., in house counsel at PaineWebber, Inc. CASE IHPCBMKTH1T Claimant filed a Statement of maim dated June 7 , 1991 and executed a Submission Ag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Elaine Zekind vs. Case #91-01778 Name of Respondents Robert A. Semon Phillips, Appel and Walden, Inc. Gruntal & Co., Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. ruBi-M REPRESENTATION For Claimant Elaine Zekind: Donald V. Pohimeyer, Esq. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Robert D. & Sally P. Rogers / Claimants vs. ; CASE# 91-01769 AWARD Merrill Lynch, Pierce Fenner & Smith, Inc. i Respondent ; ; CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1991, Claimant Robert D. & Sally P. Rogers who appeared pro se, alleged that Respondent Merril

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Aifcitration Between Of Albert and Ana Chicle vs. NASD #91-01764 , Inc. Jodie Cohen Steven. FOOT daimmts: Ann Chick represented Claimants For Respondents: Joa L. Rewinflki, Esq., KlTVtol & Andersen, Los Angeles, California. case nwjmmrii Statement of ma-im filed: June 7, 1391 Claimants' ft**»*«MH< ^ Agreement signed cut My 13, 1991 Joint Statame

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBOJRITIES DEALERS _ _ _ In the Matter of the Arbitration Between ) ) Of Charles and Suzanne Canpicn Name of Respondent (a) A.G. Edwards & Sons, Inc. Dennis Madler Guy B. RisJca Arbitration National Aaaodation of SecorHto* OMfera, Inc. One East Browa/d Boulevard Ft^JdZIteto. Florida 33301 (305) 522-7391 Case No. 91-01750 For Claimants, Charles and Suzanne Campion ("Campion")