N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Iowa State Bank, West Bend 93-04373 Name of Respondents Van Kampen Merrit, Inc. Richard Olson David Johnson REPRESENTATION Claimant Iowa State Bank, West Bend ("Iowa State Bank") was represented by Brent R. Appel of Dickinson, Throckmorton, Parker & Mannheim, Des Moines, Iowa. Respondents Van Kampen Merritt Inc. ("Van K

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hersel Nourmand, Individually and as Trustee for the Benefit of The White Trust Dtd 1/19/99, Mozafar Nourmand, Individually, as Trustee for the Benefit of The Pacific Trust Dtd 1/19/99, and as Custodian for Erica Pary Nourmand, Monica Nourmand and Joseph Salar Nourmand, and Salar Properties, a Partnership, Claimants v. PaineWebber, Inc., David B. Harberson, Don S. Dalis, and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Centrelnvest Securities, Inc., (Claimant) vs. Salomon Smith Barney, Inc., (Respondent) Case Number: 00-00902 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Centrelnvest Securities, Inc., hereinafter referred to as "Claimant": Alan Siegel, Esq., Akin, Gump, Strauss, Hauer & Feld, L.L.P., New York, NY. Respondent, Salomon Smith Barney, Inc., hereinafter ref

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward R. Marsh, Trustee for the Edward R. Marsh Trust 93-04362 Name of Respondent Chatfield Dean & Company, Inc. Representation of Parties Claimant, Edward R. Marsh, Trustee for the Edward R. Marsh Trust ("Claimant") was represented at the hearing by Paul Sussman, Esq. of the Law Offices of Paul Sussman, Chicago, Illinois

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Karl Richter 93-04355 Name of Respondent Coastal Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 21, 1993, Claimant Karl Richter, who appeared Pro Se, alleged that Respondent Coastal Securities, Inc. did not properly handle his account. Claimant further alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between DEREK J. COWIE; and DEREK J. COWIE TRUSTEE FBO COWIE TRUST U/A DTD 12/18/89. Claimants, v. NASD No. 93-4352 KENNEDY. CABOT & CO. and MARK O. FINK. Respondents. Representation For Claimant (Cowie): Michael Huberman, Esq., Of Counsel for Greenbaum & Ferentz, Newport Beach, California For Respondent Kennedy Cabot & Co. (KCC): George Kupper, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla|nTantf$) Anthony R. LaMura 93-04341 Name of Resoondentfs) M. Rimson & Co., Inc. Damon Giro Cozzolino For Claimant: Joan Markey, Esq. For Respondent M. Rimson & Co., Inc.: Moe Rimson and Moishe Silver. The Respondent Damon Giro Cozzolino appealed pro se. CASE INFORMATION Statement of Claim filed: October 19, 1993. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ivor A. and Linda B. Stoddard, Trustees for The Brandt Family Trust 93-04335 Name pf Respondents Shearson Lehman Brothers, Inc. Frederick Downes Iselin Reese McGregor Stidham, III The Robinson-Humphrey Company, Inc. REPRESENTATION For Claimants, Ivor A. and Linda B. Stoddard, Trustees for the Brandt Family Trust, appea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geraldine De Nunzio 93-04328 Name of Respondents Martin Kopstein Harold Ahrens Kopstein Van Alen & Company Newbridge Securities Inc. REPRESENTATION For Claimant Geraldine De Nunzio ("Claimant") appeared Lynn Hanig, Esq. from the law firm of Lynn Hanig, P.C. located in Poughkeepsie, New York. For Respondents Martin K

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roberto and Charo Mendoza 93-04326 Name of Respondents Rickel & Associates Arnold Cohen REPRESENTATION Claimants Roberto and Charo Mendoza appeared pro se. For Respondent Rickel & Associates appeared Arnold Cohen and Anthony Franco. Respondent Arnold Cohen appeared pro se. CASE INFORMATION The Statement of Clai