N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phii S. and Frances Kerher 96-00137 Name of Respondents Stratton Oakmont, Inc. Thomas Niemyczyk CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 10, 1996, Claimants Phil S. and Frances Kerber ("Claimants"), who appeared Pro Se, alleged that Respondent Stratton Oakmont, Inc.

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Robert Y. & Julie H. Kim 96-00333 Name of Respondents Dean Witter Reynolds Inc. Robert Denning REPRESENTATION For Claimants, Robert Y. and Julie H. Kim ("claimants"), appeared L. Vastine Stabler, Jr., Esq. of Birmingham, Alabama and C. Henry Marston, Esq. of Walston, Wells, Anderson & Bains, LLP, of Birmingham, Alabama. For Respondents, Dean Witter Reynolds

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Richard A. Larsen v. Name of Respondent Baraban Securites, Inc. Arbitration No. 96-00121 For Claimant: For Respondent: REPRESENTATION Robert A. Kahn, Esq. Law Office of Robert A. Kahn Calabasas, California Robert A. Uhl, Esq. Robert A. Uhl, Inc. Beverly Hills, California CASE INFORMATION Stat

NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Jesse Diaz 96-00119 Name of Respondent Paine Webber Incorporated REPRESENTATION For Claimant: Jesse Diaz ("Diaz") was represented by Charles Clayton, Esq. of Minneapolis, Minnesota. For Respondent: PaineWebber Incorporated was represented by Lisa Catalano-Tillem, Esq. of PaineWebber Incorporated, Weehawken, New Jersey. CASE INFOR

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Lucille Freeman, Claimant, and No. 96-00116 Financial Network Investment Corp., Respondent and Cross-Claimant, and James Clark Selby and Joe Dwayne Baugus, Respondents and Cross-Respondents. REPRESENTATION OF PARTIES Claimant, Mrs. Lucille Freeman ("Mrs. Freeman"), was represented in pleadings by Ms. Paula Hutchinson, Esquire of McDade & Fog

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael and Yvonne Graber 96-00111 Name of Respondents Smith Barney, Inc. Alan Cole REPRESENTATION For Claimants Michael and Yvonne Graber ("the Grabers"): Frank R. Brady, Esq. of the law offices of Frank R. Brady, Boca Raton FL. For Respondents Smith Barney, Inc. ("Smith Barney") and Alan Cole ("Cole") Linda Alpert, E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants W. Lawson and Jean M. Cording 96-00100 Name of Respondents Alex Brown & Sons Incorporated Mark B. Fisher 1 REPRESENTATION Claimants W. Lawson and Jean M. Cording ("Claimants") were represented by Alexander R. McMullen, Esq. and Richard W. Drury, Esq., McMullen & Drury, Towson, MD. Respondents Alex

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John Sokolski, Jr. 96-00088 Names of Respondents Richard Underwood and Ridgemont Securities, Inc. REPRESENTATION Claimant, John Sokolski, Jr. was represented by Stuart R. Berkowitz, Esq. of Platke & Berkowitz, St. Louis, Missouri. Respondents, Richard Underwood and Ridgemont Securities, Inc. were repr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: 96-00082 GKN Securities Corp, claimant vs. Salvatore Salvato, respondent. ATTORNEYS: For claimant appeared Katherine Nathan - New York, NY. Respondent appeared Pro Se - Edison, NJ. DATE FILED: 1/5/96 CASE SUMMARY: Claimant alleged debt on promissory note. Claim Data Award Data Claim: $5,906.62 Award: $5,906.62 Interest: Requested Interest: 12% from 1/1

NASD Dispute Resolution Arbitration No. 00-05331 Award Page 1 of 10 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 00-05331 Tiberiu Salamon, M.D. Tiberiu Salamon, M.D., P.C. Tiberiu Salamon, M.D., PC Defined Pension Plan Tiberiu Salamon Defined Benefit Pension Trust PMP A/C The Estate of Eva Farago The Estate of Andrew Farago Name of the Respondents Hearing Site: New York, N