N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ^Claimants Ronald J. Small CAC Corporation CASE NO. 94-01539 Name of Respondent Fidelity Brokerage Services, Inc. REPRESENTATION Claimant, Ronald Small, ("Small") appeared pro se. For Claimant, CAC Corporation, ("CAC"), Mr. Ronald Small. For Respondent, Fidelity Brokerage Services ("Fidelity"), Ann-Marie Dever, in house counsel.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name* of the Claimants fa^p Number- 01-03021 Harold and Arlene Robinson Name nf Re^ondente Hearing .'site- Philadelphia, PA Salomon Smith Barney, Inc. and Stewart Vockel, HI RF.PRF.SFNTATTON OP PAttTTFS Claimants Harold and Arlene Robinson, hereinafter collectively referred to as "Claimants", were represented by Michael Dubin, Esq., Semanoff, Ormsby, Greenberg & T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara and Phillips Gips Award No. vs. 94-01601 Name of Respondents Kidder, Peabody & Co., Incorporated David Ian Palmer John Loring Swasey, Jr. William Francis Kennedy REPRESENTATION For Claimants, Barbara and Phillips Gips ("Claimants") appeared Thomas J. Hanrahan, Esq., located in New York City, New York. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Richard J. Gallagher 94-01595 Name of Resoondentfs') Donald Williams Curtis Hammond CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1994, Claimant Richard J. Gallagher, who appeared pro se, alleged that Respondents Donald R. Williams ("Williams") and Curtis Hammond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant Aegis Capital Corp. 94-01593 Name of Respondent Ross A. Freitas REPRESENTATION For Claimant, Aegis Capital Corp. ("Aegis"): Michael J. Deutsch, Esq., Coconut Grove, Florida. For Respondent, Ross A. Freitas: Pro Se. CASE INFORMATION Statement of Claim filed: April 28, 1994. Claimant's Submission Agreement signe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Kurt Markstein vs. Name of Respondents M.S. Farrell & Company, Inc., Robert Decry Thomas Gallo NASD #94-01588 RF.PRFSENTATIQN Claimant represented himself. For Respondents: Mark J. Astarita, Esq., Gusrae, Kaplan & Bruno, New York, New York CASE INFORMATION Statement of Claim filed: May 10,1994 Clai

N.A.S.D. AWARD NATTONAT. ASSOCTATTON OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between of Claimant Richard Sansing NASD Arbitration No. 9441578 Name of Respondent Brokers Investment Corporation RFPRF r SFJ>JTATION For Claimant: Matthew Zevin, Esq., Law Office of Bruce R. Safran, Tarzana, California For Respondent: Norman Shubert, Brokers Investment Corporation, Canoga Park, California CASE INFORMATION State

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Same E. Martin, Claimant, y. NASD No. 94-01575 Robert Scott Securities, Inc. and Margaret Peggy Boland, Respondents. Representation For Claimant: Paul Young, Esq. of Securities Arbitration Group, Inc., Marina Del Rey, California For Respondent Robert Scott Securities (RSS): Nicholas Ellis of RSS, Irvine, California For Respondent Margaret P. Bol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In (ho Matter of (lie Arbitration Between Name of Claiimiu(s') Allen P. and Sandra L. Faivrc 94-01627 Name of Resnondeot(s) Olde Discount Corporation Manuel J. Leon Jack Avery REPRESENTATION For Claimants, Allen P. and Sandra L. Faivre ("Faivre"): Michael Huberman, Esq. of Greenbaum and Ferentz, Newport Beach, CA. For Respondents, Olde Discount Corporation ("Olde"), Manuel J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cfott Michael Tricoli 94-01625 Name of Respondents) Arthur Gejdbach CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1994, Claimant Michael Tricoli, who appeared Pro Se, alleged that Respondent Arthur Geldbach failed to recommend moderately conservative investments which were his stated i