NASD REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. 96-03485 Name of Respondents Smith Barney Inc. (n/k/a Salomon Smith Barney, Inc.) Patience L. Taylor David Kirkwood John H. Wellington Name of Third Party Respondent Vicki L. Isom REPRESENTATION For Claimant Charles Schwab ("Claimant"): Jeffrey L. Levy, Esq., of the law

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. 96-03483 Name of Respondent Timothy M. Tinker REPRESENTATION Claimant Dean Witter Reynolds, Inc. ("Claimant") was represented by Thomas C. Costello, Esq., Law Offices of John West, III, Baltimore, MD. Respondent Timothy M. Tinker ("Respondent") was represented by Kenneth P.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Meltzer Revocable Trust 96-03480 Name of Respondents Catello Rispoli a/k/a Carl Banks Nationwide Securities Corp. Carl D'Elia CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation. Inc. on August 12, 1996. claimant David Meltzer Revocable Trust ("claimant" or David Meltzer"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald Porchia 96-03479 Name of Respondents Biltmore Securities, Inc. Alan Siemens CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 12, 1996, claimant Donald Porchia ("claimant") through his representative, Thomas G. D'Luge, Esq., of the law firm of D'Luge, Miles & Miles, P.L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. —— 1 _ In the Matter of the Arbitration Between Name of Claimant Bonnie I. McKnight 96-03476 Name of Respondents Legg Mason Wood Walker, Inc Interstate/Johnson Lane Robert C. Thomas REPRESENTATION For claimant Bonnie I. McKnight ("claimant") appeared her representative Fred Thompson, HI, Esq. of the law firm Stokes & Thompson located in Charlestown,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05157 Fidelity Brokerage Services, Inc., Claimant vs. Kirk P. Thornton, Respondent. ATTORNEYS: For Claimant, Fidelity Brokerage Services, Inc., ("Claimant") appeared Laurence K. Richmond, Esq. of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent, Kirk P. Thornton, ("Respondent") did not respond to the Statement of Claim. DATE FILED: November 21, 2000 CASE SUM

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 96-03475 Name of Respondent Daniel J. Capozzi, III REPRESENTATION f Claimant Dean Witter Reynolds, Inc. ("Claimant") was represented by K. Stewart Evans, Jr., Esq., Pepper, Hamilton & Scheetz, Washington, DC. Respondent Daniel J. Capozzi, III ("Respondent") did not appe

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Louis M. Clements 96-03468 Name of Respondents John Liselli Salvatore Marasa Smith Benton & Hughes Robert Hanney REPRESENTATION Claimant Louis M. Clements ("Claimant") was represented by Bernard C. Daley, Esq., Law Offices of Joseph C. Daley, New York, NY. Respondents John Liselli ("Liselli") and Robert Hanney (

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Joseph A. Wojcik Mary J. Wojcik 96-03465 Names of Respondents A.S. Goldmen & Company, Inc. Stephen E. Sokoloff REPRESENTATION For Claimants Joseph A. Wojcik and Mary J. Wojcik ("Claimants") appeared William A. Jacobson, Esq. of the law firm Kaplan & Jacobson, Inc., located in Providence, Rhode Island and Pail P. Baillargeon, Esq., with law offices

'•~/\ i : I I NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Jean M. Donovan Dorothy M. Fess Nicholas Fess Case No. 96-03458 Name of Respondents Victor Verola Great American Financial Network, Inc., f/k/a Marina Securities, Inc. Timothy G.Gillis , ; Stephan S>. Buckley A. S,A. Investment Company REPRESENTATION OF PARTIES For Claimants Jea