A nr> NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or' Claimant Michael Siani Name of Respondents Kidder. Peabody &. Co.. Incorporated Maik R. Somito 92-00886 Arbitration National Association of Securities Deatora, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 REPRESENTATION For Claimant: Thomas Brodie. Esq.. solo practioner. For

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between L. Eloise Hoyt Claimant CASE §92-00885 vs. Smith Barney, Harris Upham & Co., Inc. Herbert T. Hans William Rothmann Richard Selig, Jr. Respondents CASE SIM4ARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1992, Claimant L. Bloise Hoyt who appeared Pro Se, alleged that Respondents Smith Bar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wesley G. Tobaben, Claimant v. Timothy J. Gramatovich, Smith Barney, Inc. (aka Solomon Smith Barney, Inc.) Frank Dworsky, Nicholas A. Corso, and Peritus Asset Management, Inc., Respondents Case Number: 99-03114 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Resp

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00883 AWARD In the Matter of the Arbitration Between Terence K. Gray Claimant vs. Global America, Inc. Joseph Riccio Michael Markowski Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1992, Claimant Terence K. Gray by and through his counsel Michael P. Murray, Esq., Sole Practitioner, Stamford,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of John R. Thompson, individually and as Trustee for Beneficial Life Insurance Company Combination Profit Sharing ~ Money Purchase Plan and Trust and as Beneficiary of Certain Individual Retirement Accounts and Susan Thompson, an individual and Beneficiary of an Individual Retirement Account NASD Arbitration No. 92-00882 Na

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In che Matter of the Arbitration Between Bonnie White 92-00881 Name of Respondent Roney & Co. Bruce A. Herrick REPRESEKTATIOM "or Claimant Bonnie White ("Claimant"): Peter H. Hull, a sole practitioner. For Respondent Roney & Co. {"Roney") and Bruce Herrick ("Herrick") : Robert N. Rapp, of Calfee Halter et al . CASE IMPORMATIOH Statement: of Claim filed: March 13, 1992. Ame

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01595 Sue W. Westerman Names of the Respondents Hearing Site: New Orleans, Louisiana Hartford Securities Distribution Company, Inc. World Group Securities, Inc. Cameron Noorany Linsco/Private Ledger Corp. Daniel T. Dubois Royal Alliance Associates, Inc. Sentra Securities Corp. Securities America, Inc. Andrew D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03119 John C. Holschuh Jane C. Holschuh Names of the Respondents Hearing Site: Baltimore, Maryland Harrison Securities, Inc. George Grafas Frederick C. Blumer Nebrissa Song Joseph A. Carannante Alan Lax Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John C. Holschuh an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03201 Dennis Doyle Name of Respondent Hearing Site: Orlando, Florida Merrimac Corporate Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Dennis Doyle, hereinafter referred to as "Claimant", appeared pro se. For Merrimac Corporate Securities, Inc., hereinafter referred to as "Respondent":

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Eric and Penny Leftkowitz Name of the Respondent Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Case Number: 04-01721 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eric Leftkowitz ("E. Leftkowitz") and Penny Leftkowitz ("P. Leftkowitz"), hereinafter collectively