Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Arnold S. and Barbara Lincow, JTWROS vs. Case No. 99-03221 Name of Respondents Salomon Smith Barney Inc. Samuel A. Ruth REPRESENTATION OF PARTIES Claimants, Arnold S. and Barbara Lincow, JTWROS, hereinafter collectively referred to as "Claimants": Samuel E. Cohen, Esq., Fox, Rothschild, O'Brien & Frankel, Philadelphia, Pennsylvania Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.T. Moran and Co., Inc. 92-02172 Name of Respondent Donald Securities Co., Inc. REPRESENTATION For Claimant J. T. Moran & Company, Inc:: Robert Ouriel, Esq. of the law firm of Kurtzman & Haspel. For Respondent Donald Securities Co., Inc.: Michael DiGiovanna. Esq. of the law firm of Dombush Mensch Mandelstam & Schaeffer.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Melford 92-02165 Name of Respondents Salvatore Maichiano A.S. Goldman & Co., Inc. For Claimant: Jonathan Kord Lagemann, Esq. , a sole practitioner. For Respondent: Steven Rogers, Esq. of Kelley Drye &, Warren. CASE INFORMATION Statement of Claim filed: June 25, 1992. Claimant's Submission Agreement signed on: Ju

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between " Name of Claimants) Estate of Emma Jean Benbow 92-02163 Najnrje pf Respondents) -^ Shearson Lehman Hutton, Inc. Prudential-Bache Securities Inc. Matthew Stevens Claimant, the Estate of Emma Jean Benbow ("Benbow") was represented by John R. Kiefner. Jr., Esq. of Riden, Earle & Kiefner, P.A., St. Petersburg, Florida.. Respondent, Shearson Le

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth Wright-Carter 92-02161 Name of Respondent Mary D. Dunbar CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 30, 1992, Claimant Elizabeth Wright-Carter, who appeared Pro Se, alleged that Respondent Mary O. Dunbar, while employed by the firm John Dawson & Associates, Inc., wa

N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michelle Owen, as Trustee for the Arthur Fitzgerald Living Trust NASD Arbitration No. 92-02158 Namp pf Respondents Kidder, Peabody & Co., Inc. Patrick J. Sahli REPRESENTATION For Claimant: H. Thomas Fehn, Esq. - Fields, Fehn and Sherwin, Los Angeles, Ca. For Respondents: William Phelps, Esq. - Kidder, Peabody & Co.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara D. Case 92-02153 Name of Respondent Gregory Ferguson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 29, 1992, Claimant Barbara D. Case, who appeared Pro Se, alleged that Respondent Gregory Ferguson, while employed by E.F. Hutton, failed to get her out of Malrit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles D. Erickson Case # vs. 92-02150 Name, of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant: Jeffrey L. Liddle, Esq., from the law firm of Liddle & Robinson, located in New York, New York. For Respondent: George A. Stohner, Esq., from the law firm of Morgan, Lewis & Bockius, located in New Yo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Jose Luis Falcon 92-02146 Name of Respondents Dickinson & Co. Swartwood Hesse, Inc. T. Marshall Swartwood REPRESENTATION For Claimant Jose Luis Falcon ("Falcon") appeared Philip M. Chiappone, Esq., of the law office of McCanliss & Early located in New York, New York. For Respondents Dickinson & Co. ("Dickinson"), Swartwood Hesse, Inc. ("Hesse"), and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALRPS In the Matter of the Arbitration Between Name of Claimant Ernst & Company Name of Respondent Glen C. Farkas NASD Arbitration No. 92-02141 For Claimant: Michael H. Du Boff, Esq. - Salon, Marrow & Dyckman - New York For Respondent: Morgan Bentley, Esq. - Newark, New Jersey CASE INFORMATION Statement of Claim filed: June 26, 1992 Claimant's Submission Agreement signed: June 2