AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Rossmore Enterprises Money Purchase Pension Plan, Philip S. Sirianni, and Janice B. Sirianni, TTEEs v. Name of Respondents Titan/Value Equities Group, Inc., J. B. Bogart & Associates, Inc., Alex Eitelbach, and Mark Fractor Arbitration No. 95-05941 REPRESENTATION For Claimants: For Respondents Titan Valu

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Community Hospital of Springfield & Clark County, Community Hospital Retirement Plan & Clark County Dialysis Facility, Inc. vs. Name of Respondents Kidder, Peabody & Co., Incorporated David Beale 95-05939 & 95-05948 (Consolidated) Name of Third Party Claimant Kidder, Peabody & Co., Inc. vs. Name of Third Party Respondents Ronald K.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norma I. Sanchez c/f Carla Segurola and Normarie Segurola 95-05938 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1995, Claimant Norma Sanchez, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. ("Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Vishnubhai N. and Maltiben V. Patel JTWROS 95-05933 Name of Respondents Buttonwood Security Inc./Security Planner Inc. Sal Waisburt CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 19, 1995, Claimants Vishnubhai N. and Maltiben V. Patel, JTWROS ("Claimants"), alleged that Respo

f Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard J. Benci and Debra A. Bend, Claimants v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., John P. Rudningen, and Donald T. Davis, Respondents Case Number: 01-01121 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondents: Virginia H. Gaburo, Esq. Virginia H. Gaburo & Associates San Diego, California

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Tecnoconsult Holdings Limited and IFG Properties, N.V. vs. 95-05923 Name of Respondents Cowen & Company Joseph M. Cohen Edward I. Herbst REPRESENTATION The Claimants were represented by: John Pritchard, Esq., Edward Flanders, Esq., and Johnita P. Due, Esq., assisted by Juan Carlos Ospina, Paralegal, Winthrop, Stimson, Putnam & Roberts, New York

NASD REGULATION, INC. AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Dr. David J. Elbaum & Sherry F. Elbaum as Trustees of the Dr. David J. Elbaum Profit Sharing Trust U/A/D 12/23/88 and U/A/D 7/24/93 FBO Dr. David J. and Sherry F. Elbaum v. Name of Respondents Smith Barney, Inc., Lance A. Horton and Jeffrey Glover Arbitration No. 95-05922 For Claimants: For Respon

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David A. Wojcik, and 95-05915 Name of Respondents Aetna Life Insurance & Annuity Company; Edward F. Bacher; Edward F. Sommer; Douglas K. Lincoln; Fem Shakelford. REPRESENTATION OF PARTIES For Claimant: Claimant David A. Wojcik ("Wojcik") was represented by Steven B. Varick, Esq. of McBride Baker & Coles in Chicago, I

NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between James P. and Marcela C. Ledesma Claimants NASD Regulation, Inc. v. No. 95-05905 Sentra Securities Corporation Christopher A. Pratt Respondents REPRESENTATION OF PARTIES James P. and Marcela C. Ledesma ("Claimant") represented themselves pro se. Sentra Securities Corporation and Christopher A. Pratt ("Respondents") were represented by John P. Cio

NASD REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert L. & Ruth A. Skiera, JTWROS 95-05904 Name of Respondent Smith Barney Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on December 19, 1995, claimants, Robert L. & Ruth A. Skiera and JTWROS ("claimants") who appeared Pro Se, alleged that on November 12, 1