NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between Gopesh K. Sharma Claimant vs . CASE# 90-01179 Trust Bank Securities Brokerage, Inc. Richard W. Mussmon Respondents Heard before: Perry E. Wallace, Jr., Esq. Public Arbitrator Marshall Passman Public Arbitrator K. Douglas Potter Industry Arbitrator CASE SUMMARY In a cli'im filed with the National Association of Securities Dea

Arbitration . National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street In the Matter of the Arbitration Between New York, New York 10004 Name of Claimant(s) Gisela Alkhafaji 90-01175 Matthew Kelly Heard before the Arbitrator: Name Public/Industry Professor Arnold Goren Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. {"NASD") on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SH.TJR1T1ES DEALERS In the Matter of the Arbitration Between tfame pf na-l-ncmt Steven F. Isenberg, M.D. 90-01174 p£ John Fink* Gregory Fisher? Jeffrey Fisher; Robert Fisher; Richard Fisher; William Scott; and Claimant was TBpmaiaani-ari by Francis E. Peoningtoa, Esq. of Green, Hbffman & Dankenhriag, St. Louis, Missouri. Respondent, John Fink was originally represented by Jay L. Levitch,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Intercredit, S.A. Claimant Award vs. Bear Stearns & Co., Inc. and Carlos Otalvaro Respondents Case #90-01172 Heard before: Allen Kilik Public Arbitrator Henry McCoy, II, Esq. Public Arbitrator Catherine Ladnier Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 24, 199

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Angelo Karakasis FFP Group, Inc. Nicholas G. Zoubroulis Theodore Zoubroulis Case Nos. 01-00645 01-00646 01-00647 01-00648 DiMedio Kirchhoff & Company, Inc. Thomas H. King, Sr. Hearing Site- Philadelphia, PA RF.PPFSFNTATTON OF PAPTTF.S Claimants, Angelo Karakasis ("Karakasis"), FFP Group, Inc. ("FFP"), Nicholas G. Zoubroulis, and Theodore Zoubroul

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Olga Butcher 90-01168 Name of Prudent. i a 1-Bache Securities Inc. Robert Venezia This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 24, 1990* Claimant, Olga Butcher, (Butcher) alleges that Respondent, Robert Venezia, (Venezia), while employed by Respondent, Prudential-Bache Securities, Inc. (PB

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert B. Lucas Claimant vs. Shearson Lehman Hutton, Inc. Respondents OATH AND AWARD OF ARBITRATOR 90-01167 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage to any o

Arbitration National Association of Securities Dealers, Inc. 425 California St., Rm. 1400 San Francisco, CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/s) Hagop Soultanian 90-00505 Name of Respondent^ liu Green SIMffiRY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Reuben Bendavid Claimant(s) vs. R.H. Damon & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00501 CASE SUMMARY Claimant(s) Reuben Bendavid alleged that Respondent(s) R.H. Damon & Co., Inc. committed unauthorized transactions with respect to Claimant's securities. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney and Names of Respondents Smith Hayes Financial Services Corp., and Steven R. Sorensen Case Number: 06-01544 Hearing Site: Omaha, Nebraska NATURE OF CASE Member Firm vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. f/k/a Salomo