N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants W. Lawson and Jean M. Cording 96-00100 Name of Respondents Alex Brown & Sons Incorporated Mark B. Fisher 1 REPRESENTATION Claimants W. Lawson and Jean M. Cording ("Claimants") were represented by Alexander R. McMullen, Esq. and Richard W. Drury, Esq., McMullen & Drury, Towson, MD. Respondents Alex

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John Sokolski, Jr. 96-00088 Names of Respondents Richard Underwood and Ridgemont Securities, Inc. REPRESENTATION Claimant, John Sokolski, Jr. was represented by Stuart R. Berkowitz, Esq. of Platke & Berkowitz, St. Louis, Missouri. Respondents, Richard Underwood and Ridgemont Securities, Inc. were repr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: 96-00082 GKN Securities Corp, claimant vs. Salvatore Salvato, respondent. ATTORNEYS: For claimant appeared Katherine Nathan - New York, NY. Respondent appeared Pro Se - Edison, NJ. DATE FILED: 1/5/96 CASE SUMMARY: Claimant alleged debt on promissory note. Claim Data Award Data Claim: $5,906.62 Award: $5,906.62 Interest: Requested Interest: 12% from 1/1

NASD Dispute Resolution Arbitration No. 00-05331 Award Page 1 of 10 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 00-05331 Tiberiu Salamon, M.D. Tiberiu Salamon, M.D., P.C. Tiberiu Salamon, M.D., PC Defined Pension Plan Tiberiu Salamon Defined Benefit Pension Trust PMP A/C The Estate of Eva Farago The Estate of Andrew Farago Name of the Respondents Hearing Site: New York, N

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Barbara Kahn vs. Case No. 95-04163 Names of Respondents David Lerner Associates, Inc. Martin Lerner REPRESENTATION For Claimant Barbara Kahn ("Claimant") appeared Dan A. Druz, Esq., a sole practitioner located in Manasquan, New Jersey. For Respondent David Lerner Associates, Inc. ("David Lerner Associates") and Martin Lerner ("Lerner") (collecti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Monica J. Mahloch Roger E. Mahloch 95-04147 Name of Respondents Smith Barney Shearson, Inc. Garrett A. Martin REPRESENTATION Claimants Monica J. and Roger E. Mahloch ("Claimants") appeared pro se Respondents Smith Barney Shearson, Inc. ("Smith Barney") and Garrett A. Martin ("Martin") were represented by Marion S.

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between © National Association Securities !>*•" Names of Claimants ANTHONY C MARCACCIO AND MARIE E. MARCACCIO AliRightsRc*crvcd CASE NUMBER 95-04134 Names of Respondents SECURITIES AND VICTOR N. BROOK REPRESENTATION , - --• -• •:•"'• -^ - ; < ^ -.••- : ---;--.- J & , v ' ? > . ; ,. • - ••••-. -., ^-.-' ; '- •

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Neil Davies 9504131 Name of Respondents €> National Association O f Securities Dealers. Inc. R.J. Forbes Group, Inc. U.S. Clearing Corp. All Rights Reservec Steven Lake REPRESENTATION Claimant Neil Davies ("claimant?) appeared pro se. Respondents ^ ^ ;("R.J, ; Forbes"), U.S *' j of R.J, Forhe&

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, 1-NC. In the Matter of the Arbitration Between Name of Claimant Jacob Mazin, Boris Bukshtaber and Kenneth Bollig and Name of Respondent Olde Discount Corporation , i -;^ r REPRESENTATION OF PARTIES v ^f^aeob-M^zin^Bprfs^Bufcshtaber and Kenneth Bollig (collectively as "Claimants") •by ThomasXLKimmell, Esq., Zarlengo & Kimmell, LLC, Denver, Colorado. © National Association

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nell Crawford 95-04120 Name of Respondents Linsco/Private Ledger Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1995, Claimant ,; Nell'Crawford^ ("CIaimant")f who^appeared Pro Se/alleged that she held acc^ Respondent, Linsco/Private Ledger Corp.; ("Respondent") and th