Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William G. Rowan HI, Claimant vs. Salomon Smith Barney, Inc., Ted Jung and Jerrold L. Eberhardt, Respondents. Case Number: 00-00865 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimant: William G. Rowan III Honolulu, Hawaii For Respondents: Shannon Hobbs Salomon Smith Barney, Inc. San Francisco, California CASE INFORMATION Statement of Clai

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Angelo Pugliares, (Claimant)-vs. Ameritrade, Inc., (Respondent) Case Number: 00-00090 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Angelo Pugliares, hereinafter referred to as "Claimant", appeared pro se. Respondent, Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Regulatory Manager, Ameritrade, Inc., Bellevue, NE. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louis T. Mattioli 93-03086 Name of Respondents Prudential Securities, Inc. John W. Whelan Stewart W. Damon, n CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 5, 1993, the Claimant Louis T. Mattioii, who appeared pro se, alleged that Respondent Prudential Securities Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joyce and Oren Cohen vs. 93-03079 Name of Respondents Olde Discount Corporation Timothy O'Brien REPRESENTATION For Claimants Joyce and Oren Cohen appeared Joan M. Markey, Esq., New York City, NY. For Respondents Olde Discount Corporation and Timothy O' Brien (hereinafter collectively referred to as "Respondents") appea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sanford G. Powers 93-03075 Name of Respondents Olde Discount Corporation Charles Louis Williams, IV CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1993, Claimant Sanford G. Powers, who appeared Pro Se, alleged that Respondent Olde Discount Corporation, through its regist

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between DAVID L. CIAPPONI, Claimant, v. NASD No. 93-3071 KIDDER PEABODY & CO. and GEORGE BITTING, Respondents. Representation For Claimant: David Studley, Esq. of San Francisco, CA For Respondent: William Phelps, Esq. of Kidder Peabody & Co., Los Angeles, CA Case Information Statement of Claim filed: October 27, 1993 Claimant's Submission Agreement

NASD Arbitration No. 93-03070 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name nf Claimant Timothy B. Oden Name of Respondents Holger Dietze and Lara Millard & Associates, Ltd. REPRESENTATION For Claimant: John W. Barnes, Esq., San Francisco, California For Respondent: Holger Dietze: Pro Se, Chantilly, Virginia For Respondent: Lara Millard & Associates, Ltd: Lionel E. Pashk

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dennis D. and Sue A. Brunsting 93-03065 Name of Respondents Dain Bosworth Incorporated Tom Dempster Claimants Dennis D. and Sue A. Brunsting ("Claimants") were represented by Thomas W. Clayton, Clayton Law Office, Sioux Falls, South Dakota. Respondents Dain Bosworth Inc. ("Dain Bosworth") and Tom Dempster ("Dempster") were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marcia B. Zimmerman 93-03060 Name of Respondents Gruntal & Co., Inc. Jonathan Lyons REPRESENTATION For Claimant Marcia B. Zimmerman ("Zimmerman") appeared Robert Chira, Esq., of Robert Chira & Associates located in New York City, New York. For Respondent Gruntal & Co., Inc., ("Gruntal") appeared Harry D. Frisch, Esq., In-ho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Invest Financial Corporation 93-03057 Name of Respondent Michael M. Poust REPRESENTATION For Claimant, Invest Financial Corporation ("INVEST"): Eugene B. Harper of INVEST, Boca Raton, Florida. For Respondent: Michael M. Poust ("POUST") appeared, Pro Se. CASE INFORMATION Statement of Claim filed: August 4, 1993. Clai