NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03244 Joseph M. Ferraro, Jr., Claimant vs. TD Waterhouse Investor Services, Respondent. ATTORNEYS: Claimant appeared Pro Se, Jackson, NJ. Respondent appeared through its in-house, Janis Campanella, Esq., New York, NY. DATE FILED: July 31, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to provide the "best execution" prices on trades when requested which resulted in loss

AWARD NASD Regulation, Inc. CASE: 98-03889 Elliott Widolok and Joyce Widolok, claimants vs. Salomon Smith Barney, Inc., Laura Fennell, Linda R. Schaffer and Jason Torres, respondents. ATTORNEYS: Claimants appeared Pro Se - Merrick, NY. For Respondents appeared in-house counsel, Ann Parry, Esq. - New York, NY. DATE FILED: October 19, 1998 CASE SUMMARY: Claimants alleged that based on respondents representations and recommendation he purchased sha

AWARD NASD Regulation, Inc. CASE: 98-03888 Alfred John Thomas Bryant and Lorraine Bryant, claimants vs. Bryan Robert Brush and First Security Investments, Inc., respondents. ATTORNEYS: For Claimants appeared Rizwan Gondal, Attorney in fact, New York, NY. For Respondent Bryan Robert Brush appeared M. David Sayid, Esq., of the firm, Sayid and Associates, New York, NY. For Respondent First Security Investments, Inc. appeared its Compliance Officer, Meg

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Marvin P. Martin and Mary Ann Martin NASD Case No. 98-03884 Hearing Site: Charlotte, North Carolina Names of Paul Fitzgerald, Linda S. Kimbrough, Rob Moses, Kimball N, Whitfield, Debra L. Whitfield, and First Allied Securities, Inc. REPRESENTATION OF PARTIES Claimants, Marvin P. Martin and Mary Ann Martin, hereinafter referred to as "Claimants",

AWARD NASD Regulation, Inc. A MAY 1 0 1999 In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Co., Inc. and Name of Respondent Karl Cosner 98-03880 REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. ("Claimant") was represented by Richard A. Karoly, Esq., of Charles Schwab & Company, Inc., San Francisco, California. Karl Cosner ("Respondent") was not represented by counsel, and failed to respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Alan H. Shaw Case No. 98-03878 Names of Respondents J. C. Bradford & Co. Darren J. Schiff In the Matter of the Arbitration Between Name of Claimant Foot and Leg Clinic Profit Sharing Plan Names of Respondents J.C. Bradford & Co. Darren J. Schiff Consolidated with Case No. 99-1369 REPRESENTATION OF PARTIES For Alan H. Shaw ("Shaw"

Award f •' NASD Regulation, Inc. „ " In the Matter of the Arbitration Between Name of Claimant Louis V. Albini, Jr. Case No. 98-03873 Names of Respondents Charles Schwab & Company, Inc. Sandy Winick Olde Monmouth Stock Transfer Third-Party Respondent Millenia Corporation, Inc. REPRESENTATION OF PARTIES Claimant Louis V. Albini, Jr. appeared pro 'S&'(^'-' ' For Kespfttaftht Cliarles Schwab & Company.? Inc.* (^Schwab"): Amir Tadjed

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Leonard Wayne, Claimant v. PaineWebber, Inc., Don Dalis and W. Eric Gleason, Respondents. Case Number: 98-03872 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Leonard Wayne In Pro Per Huntington Beach, California For Respondents PaineWebber, Inc. and W. Eric Gleason: Gregory E. Copeland, Esq. PaineWebber, Inc. Los Angeles, California

AWARD NASD Regulation, Inc. CASE: 98-03868 A.G. Edwards & Sons, Inc., claimant vs. Maureen Paterson, respondent. ATTORNEYS: For Claimant appeared Phyllis A. Hartrich, Esq. - St. Louis, MO. Respondent did not respond to the Statement of Claim. DATE FILED: October 19, 1998 CASE SUMMARY: Claimant alleged Respondent had insufficient funds in her account to cover the amount drawn and has refused to pay the resulting debit balance. Claim Data Clai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Marilyn R. Athan, Individually and as Trustee of the Peter Athan and Marilyn R, Athan Revocable Living Trust Agreement Case No. 98-03865 Names of Respondents CIBC Oppenheimer Corp. Steven M. Gibson REPRESENTATION OF PARTIES For Claimant: Stephen D. Spivey, Esq., Law Offices of Stephen D. Spivey, Ocala, FloridaJ For Respondents CIBC Oppenheimer Corp.