STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Alex Maul, Claimant, v. No. 96-05808 Rocco Guidicipietro, and State Street Capital Markets Corp., Respondents. REPRESENTATION OF PARTIES For Claimant Alex Maul ("Claimant"): David H. Zimmer, Esq., located at Two Greenwich Plaza, Greenwich, CT. For Respondent Rocco Guidicipietro ("Guidicipietro"): Hayward Richard Pressman, Esq.,

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantfs) Metta Foundation v, Arbitration No. 96-05805 Name of Respondents') Howards. Gelfand REPRESENTATION For Claimant: Wade F. Hyder, Esq. Santa Rosa, California For Respondent: Howard S. Gelfand New York, New York CASE INFORMATION Statement of Claim filed December 26, 1996. First Amended Statement of Claim fil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Hippeau, (Claimant) vs. Salomon Smith Barney Inc., (Respondent) Case Number: 01-01417 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eric Hippeau, hereinafter referred to as "Claimant": William F. Dahill, Esq., Wolmuth Maher & Deutsch LLP, New York, NY. Respondent, Salomon Smith Barney Inc., hereinafter referred to as "Respondent": Kevin J. Deloatch, E

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Estate of Sidney Gelman, Deceased By Elaine R. Gelman, Personal Representative, Claimant, v. Street Capital Markets Corp., Radcliff St. Aubyn Bent, Schroder Wertheim & Co., Inc., Respondents. Case Number 96-05802 Claimant Estate of Sidney Gelman, Deceased By Elaine R. Gelman, Personal Representative: ("Claimant") was represented by Antho

"NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Charles D. and Elizabeth F. Dahan ^ 96-05796 Name of Respondents Chase Manhattan Investment Services, Inc Hammond H. Han REPRESENTATION Claimants Charles D. and Elizabeth F. Dahan (collectively "Claimants") were represented by Greg S. Friedman, Esq., Roclcville, MD, Respondents Chase Manhattan Investment Services, Inc

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William J. Anderson Jeffrey R. Wood Daniel Porush 96-05795 REPRESENTATION For Claimant William J.Anderson ("Claimant"): Charles Bagley, IV, Esq., Bagley & Rhody, Annapolis, MD Respondents Jeffrey R, Wood ("Wood") and Daniel Porush ("Porush") did not appear. CASE INFORMATION Statement of Claim filed: December 27, 199

AWARD NASD Regulation. Inc.. Office of Dispute Resolution In the matter of the Arbitration Between Name of Claimant fs) Kidder, Peabody & Co., Inc. Arbitration No. 96-05784 Name of Respondent(s) Goldman Sachs & Co. Hilda Arechiga William R. Feiler Reed E. Halladay Marlene Huot Darell L. Krasnoff Gerald E. Measer Todd M. Morgan Thomas M. Schwartz REPRESENTATION For Claimant: Lary Alan Rappaport, Esq., McCambridge,

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Gregory M. Gottschlich 96-05781 Name of Respondents Meyers Pollock Robbins, Inc. Ricky L. Smith REPRESENTATION For claimant Gregory M. Gottschlich ("claimant") appeared Walter Reynolds, Esq. of thfc law offices Porter, Wright, Morris & Arthur located in Daytoh, Oftio. ; i r- r For respondent Meyers Pollock Robbins, Inc. ("MPR") appeared Evan L. Gordon, Es

NASD REGULATION, INC. AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert Campbell v. Name of Respondents Meyers Pollock Robbins, Inc. and Jeffrey Wittenberg Arbitration No. 96-05774 REPRESENTATION For Claimants: For Respondents: CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answer filed by Respondents

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Ruben Kornfeld vs. Case No. 96-05773 Alex Brown & Sons, Inc. Mark Branigan REPRESENTATION For Claimant Ruben Kornfeld ("Claimant") appeared Kevin P. Conway, Esq. of the law offices of Conway & Conway, located in New York, New York, For Respondent Alex Brown & Sons, Inc ("Alex Brown") appeared Daniel J. Donovan, Esq. Compliance Director and Associate