NASD Dispute Resolution Arbitration No. 01-00906 Award Page 1 of 5 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities Inc. Case Number: 01-00906 v. Yossi Koren Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Wedbush Morgan Securities Inc., hereinafter referred to as "Claimant": Jerry S. Phillips, Esq., Richman, Mann, Chizever, Phillips & Duboff, Beverly Hills, CA. Pre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Leigh Vance, individually and as trustee L.V. Productions, Inc. NASD Arbitration No. 92-01822 Name of Respondent^ Jean Gallagher REPRESENTATION For Claimants: Leigh Vance, Marina del Rey, California For Respondent: No Appearance by Jean Gallagher CASE INFORMATION Statement of Claim filed: June 1, 1992 Clai

N.A.S.D. AWARD —~" NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between - ~, . _ Name of Claimants David and Mary Hebert -^"- 92-01820 Name of Respondents Dickinson & Co. and Robert Vernon REPRESENTATION OF PARTIES For Claimants at the hearing: Steven L. Addington, Esq., Des Moines, Iowa. For Respondents at the hearing: Thomas M. Swartwood, Esq. of Dickinson & Co., Inc., New York, New York. CASE INFORMA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anan Abu-Taleb ^- No. 92-01816 Name of Respondents Rodman & Renshaw, Inc. James McAnaily REPRESENTATION OF PARTIES For Claimant: James E. Dahl, Esq. of James E. Dahl & Associates, Chicago, Illinois. For Respondents: Howard L. Teplinsky, Esq. of Rudnick & Wolfe, Chicago, Illinois. CASE INFORMATION Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ^ (•,: In the Matter of the Arbitration Between • • \\\ Name of Claimant - u Ronald L. Scott and 92-01815 Name of Respondents Smith Barney Harris Upham &. Co., Inc. and John Hardman Robinson REPRESENTATION OF PARTIES Claimant was represented by Steve A. Miller, Esq., Denver, Colorado. Respondent Smith Barney Harris Upham & Co., Inc. was represented by Alejandro Schwed,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stephen P. Julien Case No. 92-01811 Name of Respondentfs) Fidelity Brokerage Services, Inc. d/b/a Fility Investments REPRESENTATION For Claimant, Stephen P. Julien ("Julien"): Michael Casey, Esq. of Casey & Molchan. For Respondent, Fidelity Brokerage Services, Inc. d/b/a fidelity Investments ("Fidelity"): Michael Wol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Samuel and Grace Bray, Claimants, and 92-01810 Prudential Securities Inc. Charles Hofheimer Respondents. REPRESENTATION For Claimants, Grace and Samuel Bray ("Claimants"): Mr. Art Bish For Respondent, Prudential Securities, Inc. ("PSI"): John S. Barr, Esquire, Maloney Yeatts & Barr, 600 Ross Building, 801 East Main Street, Richmond, Vir

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SSCOROTES DEALERS In the Matter of the Arbitration Betweea Name of Claimant (s) Elaine H. Thompson Nappe of Respondent (a) Thomas E. Murray Case Ho. 92-0X607 For Claimant, Klalnft B. "Thompson ("Ihcnpeon"): pro se. For Respondent, Ibonas E. Murray ("Murray"): ggo se. Statement of Claim filed: Jtae 1, 1992. Claimant's Submission Agreement signed: May 19, 1992. Respondent's Statement of Answer filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Charles and June Shepherd vs. 92-01803 Name of Respondent(s) Smith Barney Harris Upham & Co., Inc. Alan Login CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 29, 1992, Claimants Charles & June Shepherd who appeared pro se, alleged that Respondent Alan Login of Respondent firm Smith

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Barbara Acton Jones 92-01795 Name of Respondents) Shearson Lehman Brothers, Inc. James Toto REPRESENTATION For Claimant Barbara Acton Jones: Walter V. Hines, Esq., sole practitioner. For Respondents Shearson Lehman Brothers, Inc. and James Toto: Robert S. Manoff, Esq. of Schwartz, Tobia & Stanziale. CASE I