N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marny Glasser and Harold Glasser 92-03053 Name o( Respondents Kidder, Peabody & Co., Incorporated Sam Luby, m For Claimants, Marny and Harold Glasser ("the Glassers"): Russell L. Forkey, Esq. For Respondents, Kidder Peabody & Co., Incorporated ("Kidder") and Sam Luby, m ("Luby"): Thomas A. Dubbs, Esq. of Kidder. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 7:77 In the Matter of the Arbitration Between vUL Name of Claimants _ •. A. Gilbert and Ellen G. Turner —-—•• 92-03052 Name of Respondents Prudential Securities, Inc. George Alexander REPRESENTATION For Claimant, A. Gilbert and Ellen G. Turner ("the Turners"): pro se. For Respondents, Prudential Securities, Inc. ("Prudential*) and George Alexander ("Alexander"): V. Michael

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Timothy and Penelope Kopp 92-03048 Name of Respondent First American Biltmore Securities. Inc. REPRESENTATION Claimants. Timothy and Penelope Kopp were represented by Michael Salcido. Esq.. Scottsdale. Arizona. Respondent. First American Biltmore Securities. Inc. was represented by Gordon Nevers. CASE INFORMATION The

N.A.S.D. AWARD NATIONAL ASSOCIATION ()F SECURITIES DEALERS. INC. In the MaKer of the Arbitration Between Annie M. McCants and Annie M. Morrison Claimants CASE #92-03031 AWARD vs. Mutual of Omaha Fund Management Company Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on September it). 1^92. Claimants Annie M. McCants and Annie M. Morrison who appeared Pro Se. alleged that on March 23.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter A. Lindquist vs. 92-03026 Name of Respondent Bear Steams & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10, 1992, Claimant Peter A. Lindquist, who appeared Pro Se, alleged that Respondent Bear Stearns & Company, Inc. misled him into investing his

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Laura Beverly Perlman NASD Arbitration No.92-03022 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Barry Rochlin Richard Hunter Joe McLaughlin For Claimant: Laura Beverly Perlman, Northridge, California For Respondents: V. James Mann, Esq., Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeffrey M. Azpbell. Trustee First Trust & Company Money Purchase Pension Plan 92-03018 Name of Respondents Kidder, Peabody & Co., Incorporated Paul M. Yeakel REPRESENTATION Claimant Jeffrey M. Azpbell ("Claimant:) was represented by Anthony J. Horn, Attorney at Law. Respondents Kidder Peabody & Co., Inc. ("Kidder") and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant(s) James A. Nadeau, Trustee 92-03014 Name of Resoondentfs) Hopper Soliday and Co.,Inc. W.H. Newbold's & Sons Co. Fahnestock & Co., Inc. Jeremy W.Y. Hall f REPRESENTATION For Claimant, James A. Nadeau, Trustee: Samuel M. Shafner, Esq. of the law firm of Shafner & Gilleran. For Respondents, Hopper Soliday and C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Daniel P. DeRose 92-02993 Name of Respondents) First of Michigan Corporation Timothy Moore For Claimant Daniel P. DeRose ("Claimant"): David S. Tolbert, Esq. with the law firm of Munro & Munro, located in Troy, MI. For Respondents First of Michigan Corporation (TOM") and Timothy Moore ("Moore") (Respondents): Michael P.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02451 James and Erin Ogburn, claimants vs. Salomon Smith Barney, Inc. and Angela Lewis, respondents. ATTORNEYS: Claimants appeared pro se, Los Angeles, CA. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY, DATE FILED: May 7, 2001 CASE SUMMARY: Claimants alleged that respondents placed unauthorized trades in their account. Claimants maintained that due to