NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Lithe Mattte of fte Aibitnition Between iQofdoiiXsntler,aDd May Xander,. C3aniuBitSy Y. No. 94-04870 PaipeWebbertlnc, Respoodent HRPRESENT ATTON PIT P ARTHCS GordiW Xander, and Mary Xaiidei CClabnantft"} ai^esied on their own fadial£ PameWebber, Inc. ("Respondent") was represented by Katiheiine L. Krebs. Esq., PaineWebber, Inc., Los Anseles, Califinnia. Pluiniants' .SToWjirm

N A S D Rcki'jldtu.n. In. WV ARI) In the .Matter -^t ih;^ Arbitration Between Name of Claimant Richard Petricca Ca.se No. vs 94-04865 Name of Respondents South Richmond Securities Inc. Joseph Picciano Barbara Hosman Andreas Zigouras Salvatore Anthony Fradella Herman Ralph Garcia REPRESEiVTATION For Richard Petricca ("Claimant") appeared .Andrew C. Cote. Esq., a solo practitioner located in Lakeville, Connecticut. For Resp

rf>A.S,Pt AWABP NATIONAL ASSQCIAnON OP SECURITIES PEAT FR.< ; TMr In the matter of the Arbitration Between NameofClaimantfs) Richard V. Sc Beveriy V. Franco Trust v. NASD Aibitiation No. 94-04863 NamcpfRfispondgmrs) Southern Califcunia Securities, Inc. and Vladimir Benm BEEBESENXAIIQfi For Claiinant: Richard V. Franco, in pro per For Respondoit: Vladimir L. Beron, in pro per CASE INFQRMAITOW Statement of Claim filed: November 18, 1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of die Arbitration Between Name of Claimant Fred Patterson 94-04862 Brian L. Mackley Schneider Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1994, Claimant Fred Patterson ("Claimant"), dirough his representative and counsel, Michael Salcido, Esq., of Scottsdale, Arizona, alleged diat he held accoun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Namy. yf ^l^^^man^ Michael M. Neal 94-04861 Name of Resoondents The Ohio Company Dennis A. Dunlap CASE SUMMARY In a claim flled with the National Association of Securities Dealers, Inc. on November 16,1994, Claimant Michael M. Neal, through his counsel, James A. Zitsman, Columbus, OH, aUeged that Respondent The Ohio Company, through its reg

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John R. Howland 94-04860 Name of Respondent Foster Jeffries Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1994 Claimant John B. Howland, who appealed Pro Se, alleged that Reqx)ndent Foster Jefficies Co., Inc. made misrepresentations to induce him into employment.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene Whitman 94-04858 Name of Respondents Oppenheimer & Co., Inc. In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1994, Claunant Eugene Whitman, who appeared Pro Se, alleged that Respondent Oppenheimer & Co., Inc. ("Oppenheimer") recommended the purchase of Texas Air Corp. bonds. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Barclay 94-04857 M. Rimson & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1994, Claimant Michael Barclay ("Claimant"), who appeared Pro Se, alleged, among other things, that on December 31, 1993, Respondent M. Rimson & Co., Inc. ("Respondent") effe

N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Qaimant Anna LaBarbera 94-048SS Andrew Cohen Jos^hLee Emanuel & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Novonber 17, 1994» Qaimant, Anna LaBarbera, who appeared Pro Se, allied that Respondents, Andrew Cohen ("Goben"), Joseph Lee ("Lee") and Emanuel & Conqiany ("Emanuel"), pu

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Alan A. Brustein and Alan A. Brustein SSB IRA Custodian Names of Respondents Salomon Smith Barney, Inc. Larry Goldstock Case No. 01-04329 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Alan A. Brustein ("Brustein") and Alan A. Brustein SSB IRA Custodian ("Brustein IRA), hereinafter collectively referred to as "C