N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Donald & Dorothy Lebo 96-00985 Name of Respondent Joseph Roberts & Co., Inc. REPRESENTATION Claimants Donald and Dorothy Lebo ("Claimants") were represented at the hearing by Donald Lebo. Respondent Joseph Roberts & Co., Inc. ("Respondent") was not represented at the hearing, CASE INFORMATION The Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Willard D. Scolnik 96-00983 Name of Respondents Smith Barney, Inc. Ernest L. Raab REPRESENTATION For Claimant: John R. Kiefner, Jr., Esq. of the law firm of Riden, Earle & Kiefaer, P.A., St. Petersburg, FL. For Respondent Smith Barney, Inc. ("Smith Barney 11 ): Victor A. Machinski, Jr., Esq., in-house counsel at

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Michael A. Shapiro v. Name of Respondents Brookstreet Securities, Inc., Toluca Pacific Securities Corp., and Steven R. Friedman NASD Regulation, Inc. Arbitration No. 96-00981 For Claimant: REPRESENTATION In Pro Per For Respondents: No Appearance Statement of Claim filed: CASE INFORMATION Clai

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: CIBC Oppenheimer Corp., a Division of CIBC World Markets v. Raymond, James Financial Services & and John Jason Aigner Case Number: 01-01160 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant CIBC Oppenheimer Corp., a Division of CIBC World Markets, hereinafter referred to as "CIBC Oppenheimer." Stephen Lee, Esq. of Doyle, Retrepo, Harvin & Robbins, L.L.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 96-00979 Name of Respondent Gregory L. White REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant") was represented by Ronald P. Kane, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois 60604. Gregory L. White ("Respondent") was represented by B

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Norman Susser, and Gail Susser, Claimants, vs. 96-00976 OLDE Discount Corporation, and Steve Yazbeck, Respondents. REPRESENTATION OF PARTIES Norman Susser, and Gail Susser ("Claimants") appeared on their own behalf. OLDE Discount Corporation ("OLDE"), and Steve Yazbeck ("Yazbeck") (jointly referred to as "Respondents") were represented b

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Hung Ching Du 96-00970 Name of Respondent Smith Barney, Inc. REPRESENTATION Tommy P. Baer, Esq., of the firm of Canfield, Moore, Shapiro, Sease & Baer, Richmond, Virginia, represented Hung Ching Du ("Claimant") at the hearing. Etta M. Gumbs, Esq., a Vice President of Smith Barney, Inc., represented Smith Barne

4 1 NASD REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants') Paul F. and Anne M. Fondacaro Paul F. Fondacaro 96-00968 Name of Respondent(s) Beacon Securities, Inc. Andrew Cohen Gary Donahue REPRESENTATION For claimants Paul F. and Anne M. Fondacaro ("Claimants") appeared Jeffrey Plotkin, Esq., of Plotkin & Manak, located in New York, New York. Respondent Beacon Securit

NASD Arbitration No. 96-00966 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAT.FT^. TNC In the matter of the Arbitration Between Name of Claimants'} Pessis Family Trust Name of Respondents) Sutro & Co., Inc. and Harrison Lee REPRESENTATION For Claimant: Michael A. Bertz, Esq. Los Angeles, California For Respondents: Michael L Abbott, Esq. Jones, Bell, Simpson, Abbott, Fleming & Taylor Los Angeles, California CASE IN

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Richard F. Dawahare, POA/Woodrow W. Dawahare Name of Respondents Dean Witter Reynolds Inc. Smith Barney, Inc. Adam Spencer 96-00965 REPRESENTATION Claimant Woodrow W, Dawahare ("Claimant") was represented by William W. Alien, Esq. And Stephen P. Stoltz, Gess Mattiagly & Atchison, Lexington, K