N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00055 ";X Sara Ben-Hanania, claimant vs. Smith Barney, Inc., and Albert Hanin, respondents. ATTORNEYS: Claimant appeared Pro Se, Boca Raton, FL. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: January 6, 1998 CASE SUMMARY: Claimant alleged that she incurred margin interest costs because respondents improperly withheld

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of-Claimants All and Nayereh Rassoulpour 98-00054 Name of Respondent ' Smith Barney Inc. REPRESENTATION Claimants Ali and Nayereh Rassoulpour ("Claimant") represented themselves. Respondent Salomon Smith Barney, Inc. ("Respondent") was represented by Ann Parry, First Vice President, Associate General Counsel for Salomon Smith Barney, New York, NY. CASE INFORMATION

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bruce M. MacArthur, as Trustee for the Bruce M. MacArthur Trust 98-00053 vs. Name of Respondents Estate of Herbert Davidson Meyers, Pollock, Robbins, Inc. REPRESENTATION Claimant Bruce M. MacArthur, Trustee for the Bruce M. MacArthur Trust, ("Claimant") was represented by John M. Braswell, Esq., Redmon, Boykin & Braswell, LLP, Alexandria, Virgin

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No. 98-0049; Award Page 1 of 4 . AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Bert O. Bayless, Claimant, and No. 98-0049 Sovereign Equity Management Corp. and Vincent James Albanese, Respondents. REPRESENTATION OF PARTIES Claimant, Bert O. Bayless, ("Claimant"), was represented by Stuart Evan Glass, Esquire of Weiner Glass & Reed located in Dallas.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Peter Bleas; and George Skoubis 98-00043 Name of Respondent Pacific Brokerage Services Inc., n/k/a Dreyfus Brokerage Services, Inc. REPRESENTATION For Claimants: Peter Bleas ("Bleas") and George Skoubis.("Skoubis") were represented by Kenneth K. Ditkowsky, Esq. of Ditkowsky and Contorer, located in Chicago, Illinois, For Respondent: Pacific Brokera

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00042 Miguel A. Bustillo, claimant vs. Olde Discount Corporation and Ken Frank, respondents. ATTORNEYS; Claimant appeared Pro Se, Falls Church, VA. For Respondents appeared in-house counsel, Amy Kutt Richards, Esq., Detroit, MI. DATE FILED: January 5, 1998. CASE SUMMARY: Claimant alleged that he placed a limit order to purchase Del Global Technologies Corp

N.A.S.D. REGULATION, INC. AWARD i i CASE: 98-00039 Susan F. Hilton, claimant vs. First Liberty Investments Group, respondent. ATTORNEYS: Claimant appeared Pro Se. - Delray Beach, FL. For respondent appeared Nicholas J. Guiliano, Esq. - Philadelphia, PA. DATE FILED: 1/5/98 -CASE SUMMARY: Claimant alleged forgery and unuthorized trading. Claim Data Award Data Claim: $10,000.00 Award: $.00 Atty Fees: $.00 Arty Fees: $.00 Filing Fees: $.00 '

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Qimat Goyal, Claimant vs. The Jeffrey Matthews Financial Group, LLC, Jeffrey R. Halpert, and Matthew B. Cohen, Respondents Case Number: 98-00038 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant Qimat Goyal "Claimant" appeared Eric Sussman, Esq., with law offices in Garden City, New York. For Respondents The Jeffrey Matthews Financial Group, LLC ("JMF

Award NASD Dispute Resolution, Inc. < e Matter of the Arbitration Between Names of Claimants iarold Banks and Derrick B. Banks JTWROS Harold Banks and Hazel L. Banks JTWROS Case No. 01-01746 Name of Respondent Patterson Travis, Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Claimants Harold Banks and Derrick B. Banks JTWROS and Harold Banks and Hazel L. Banks JTWROS, hereinafter collectively referred to as "Claimants"

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Samuel Gottlieb and 98-00032 Name of Respondents OLDE Discount Corporation, Jeffrey Votruba, and Steven Ledyard REPRESENTATION OF PARTIES Samuel Gottlieb ("Claimant") was represented by John R. Augustine, Jr:, Esq., Phoenix, Arizona. OLDE Discount Corporation ("OLDE"), Jeffrey Votruba ("Vortuba"), and Steven Ledyard ("Ledyard")(jointly referred