N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between « Name of Claimant Theodore H. Lutz 94-00613 Name of Responripnts Smith Barney Shearson, Inc. (n/k/a Smith Barney, Inc.) Joseph Lonski PEPRPSENTATIQN Claimant Theodore H. Lutz ("Claimant") was represented by Lawrence R. Gelber, Esq. of the law firm of Beigel Schy Lasky Rifkind Goldberg Fertik & Gelber, New York, New York. Respondent

NASD Arbitration No. 94-01267 N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) James George Name of Respondent la) Steven Bader REPRESENTATION For Claimant: Gordon C. Young, Esq., Keesal, Young & Logan, San Francisco, California 7or Respondent : Mo Appearance By Gteven Bader CASE INFORMATION Statement of Claim filed: March 31, 1994 Claimant's Submiss

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e nf Claimant Louis V. Albini, Jr. Case No. 94-01262 Name of Respondent Doraenick Schina Philadelphia Investors, Ltd. Claimant, Louis V. Albini, Jr. ("Albini*): pro-se. Respondent, Philadelphia Investors, Ltd: ("PEL"): Clarence Z. Wuits, Corporate Representative. Respondent, Domenick M. Schina ("Schina"): pro-se. CASE INFORMATION Statem

.V.A.5.Z). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Halm Zion NASD Arbitrarior No. 94-1258 Name of Respondent(s) Olde Discount Corporation REPRESENTATION For Claimant: Irving Pfeffer, Esq., San Francisco, CA For Respondent: Ina Otto, Esq., Detroit, MI CASE INFORMATION Statement of Claim filed: April 4, 1994 Claimant's Submission Agreement signed: March 9, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Scott L. Mathis 94-01249 Name of Respondent Alex Brown & Sons Incorporated Robert Oram REPRESENTATION For Claimant: M. David Hyman, Esq. , Ho-Ho-Kus, New Jersey. For Respondents: Nancy Palmer, Esq. of Alex Brown & Sons Incorporated, Baltimore, Maryland. CASE INFORMATION Statement of Claim filed: April 4, 1994. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith R. Streubert 94-01243 e ff Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1994, Claimant Edith Streubert, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., sold her ten shares

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Robert M. Flora 94-01242 Name of Respondent^) Barrett Day Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1994, Claimant Robert M. Flora, who appeared Pro Se, alleged that Respondent Barren Day Securities, Inc., through its representatives, was using harass

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClannantfs) Scot T. Martin 94-01241 Name of Respondent(s> Smith Barney Shearson, Inc. n/k/a Smith Barney Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1994 Claimant Scot T. Martin, who appeared Pro Se, alleged that Respondent Smith Barney Shearson Inc., n/k/a Smith Barney IK.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NanjeofCIaimant Dorothy Hollensteiner James Hollensteiner - Power of Attorney 94-00892 Piper Jaffray Inc. William J. Burger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1994, Claimant Dorothy Hollensteiner, through her representative, James Hollensteiner, who held a power of attorney ov

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02964 William Kenneth Bonds, claimant vs. Von Feldt & Associates and DeWayne Von Feldt, respondents. ATTORNEYS: Claimant appeared pro se, Oklahoma City, OK. For Respondents appeared DeWayne Von Feldt, President of Von Feldt & Associatesjnc., Oklahoma City, OK. DATE FILED: June 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay him commissions and salary ow