NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Haskell Wade and Carol Wade and 97-03057 Name of Respondent Cohig & Associates, Inc. Michael Patzkowsky REPRESENTATION OF PARTIES Haskell Wade and Carol Wade ("Claimants") were represented by Richard A. Nervig, Esq., Denver, Colorado and John C. Hugger, Esq., Evergreen, Colorado. Cohig & Associates, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Brian Coventry, (Claimant) v. GKN Securities Corp., (Respondent) Case Number: 00-02055 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Brian Coventry, hereinafter referred to as "Claimant": James P. Donohue, Esq. and David Crystal U, Esq., Gilbride, Tusa, Last & Spellane LLC. Respondent, GKN Securities Corp., Richard L. Hartz, Esq. and Michael P. Pappas, Esq,, L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-03056 Joseph R. Haas and Stephanie W. Haas, claimants vs. Legg Mason Wood Walker, Inc., and Christopher Ozazewski, respondents. ATTORNEYS: Claimant appeared Pro Se, Linthicum, MD. For Respondents appeared Vice President and in-house counsel, C. Gregory Kallmyer, Esq., Baltimore, MD. DATE FILED: June 20, 1997. CASE SUMMARY: Claimant alleged that respond

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. i i CASE: 97-03055 Summit Discount Brokerage Co., claimant v. Ronald S. Blum, respondent. ATTORNEYS: For claimant appeared Joseph J. McCaffrey - Paramus, NJ, Respondent did appear. DATE FILED: 6/19/97 CASE SUMMARY: Claimant alleged respondent bounced a check and failed to pay debt. Claim Data Award Data Claim: $3,231.54 Award: $3,231.54 Interest: Reques

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. Pierre Coenen, claimant vs. Alfred J. Ursomanno, Jr., respondent. ATTORNEYS: Claimant appeared Pro Se - Plantation, FL. Respondent appeared Pro Se - Port Charlotte, FL. DATE FILED: 6/19/97 CASE SUMMARY: Claimant alleged unauthorized trade of common stock. Claim Data Award Data Claim: $2,274.00 Award: $740.00 Interest: Unspecified Interest:$.00 Punitive: $.0

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03052 Raymond J. Hawthorne, claimant vs. L.T, Lawrence & Co. Inc., and Anthony Laurella, respondents. ATTORNEYS: Claimant appeared Pro Se, Montgomery, AL. For Respondent L.T. Lawrence & Co. Inc., appeared Ruthann G. Niosi, Esq., New York, NY. Respondent Anthony Laurella - deceased. DATE FILED: June 19, 1997. CASE SUMMARY: Claimant alleged that responde

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03047 Seymour and Estelle R. Schneider, claimants vs. Alan Pomeranz and First Miami Securities, Inc., respondents. ATTORNEYS: For Claimants appeared Dennis A. Breitner, Esq. For Respondent First Miami Securities, Inc. appeared Dennis Richard, Esq. - Miami, FL. For Respondent Alan Pomeranz appeared Kenneth W, Lipman, Esq. - Boca Raton, FL. DATE FILED: 6/20/

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03046 Donald E, Gust and Julie S. Gust, claimants vs. Sterling Foster & Company, Inc., and Michael P. Murray, respondents. ATTORNEYS: Claimants appeared Pro Se through Donald E. Gust, Indialantic, FL. For Respondents appeared Joseph D'Elia, Esq., Huntington, NY- DATE FILED: June 19, 1997. CASE SUMMARY; Claimant alleged that respondents engaged in boiler ro

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dwight McCan 97-03044 Name of Respondent Investment Performance Services, Inc. REPRESENTATION OF PARTIES For Claimant: David M. Greenberg, Esq. Law Offices of David M. Greenberg Larkspur, California. For Respondent: Mari-Anne Pisarri, Esq. Pickard and Djinis Washington, D.C. CASE INFORMATION

Award NASD Dispute Resolution In the Matter ofthe Arbitration Between: James W. McCarthy (Claimant) v. Citigroup Global Markets, Inc. jBTc/a Salomon Smith Bamey, Inc. (Respondent) Case Number: 03-09195 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James W. McCarthy ("McCarthy") hereinafter referred to as "Claimant": William A. Jacobson, Esq., The Law Offices of William A. Ja