NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant M. H. Kabir Case No. vs. 96-03394 Name of Respondents Robert Thomas Securities, Inc. Mahmod M. Zaman REPRESENTATION For Claimant M. H. Kabir ("Claimant") appeared David M. Freedman, Esq., a sole practitioner with offices located in Albany, New York. For Respondent Robert Thomas Securities, Inc. ("Robert") and Mahmod M. Zaman ("Zaman"), collectively

NASD AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Christian Schaub 96-03393 Name of Respondent PaineWebber, Inc. REPRESENTATION For Claimant, Christian Schaub ("Claimant"), appeared Walter M. Phillips, Esq. of the law firm Hoyle, Morris & Kerr located in Philadelphia, Pennsylvania. For Respondent, PaineWebber, Inc. ("Respondent"), appeared James Williams, Esq. and Mary Smith, Esq. of the law firm

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ali Asghar Salehi and Case No. 96-03388 Name of Respondent A.S. Goldmen & Company, Inc., Vincent Caracciolo, Marc Colatrella. and Charles Garofalo REPRESENTATION OF PARTIES Ali Asghar Salehi ("Claimant") was represented by Greg Tilton, Esq., of Bell & Henry, LLP, Houston, Texas. A.S. Goldmen & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) JOSEPH A. MOOTER 96-03385 Name of Respohdent(s) DEAN WITTER REYNOLDS INC., and BARRY OLFERN, jointly and severally REPRESENTATION For Claimant: John A. Hubbard, Esq. of the law firm of Alan R. Miller, P.C., Birmingham, MI „ For Respondent Dean Witter Reynolds Inc.: Allison B. Doneghey, Esq., Dean Witter Reynolds Inc.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Joan & Robert Fredericks vs. Case No. 96-03379 Name of Respondents Richard G. Gagliardi Lynn Gagliardi American Asset Management Corporation Addison Financial Services, Inc. G.K. Scott & Co., Inc. Donovan Peterkin Russell Frayko LA. Rabinowitz & Co. L.C. Wegard & Co., Inc. REPRESENTATION For Claimants Joan and Robert Fredericks

i u t ' Hf - / NASD REGULATION, INC, AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Nyne of Claimant Dr. Paul K. Simmons, DDS E/B/P and P/S/P 96-03377 Name of Respondents James Brennan* HI j^Koegler, Morgan & Company, Inc. National Financial Services Corporation Brennan, Dyer & Company, L.L.C. REPRESENTATION For Claimant Dr. Paul K. Simmons ("Claimant") appeared Thornwell F. Sowell, Esq., a solo p

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Ciaimantfsj Arthur J. Benvenuto, As Trustee for the UTA Charles Schwab & Co., Inc. IRA Rollover Dated 4/10/96 v. Name of Respondent^ Charles Schwab & Co., Inc. Arbitration No. 96-03370 REPRESENTATION For Claimant: For Respondent: Patrick N. Keegan, Esq. Krause & Kalfayan San Diego, California Rhonde Y. Jones,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sonja C. Smith 96-03365 Name of Respondent Brown & Company Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 5, 1996, claimant Sonja C. Smith ("claimant"), who appeared Pro Se, alleged that on September 14, 1995 she placed an order with respondent Brown & Co

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-03364 Leo Spitzmiller, claimant vs. Javier Hernandez and Greenway Capital Corporation nka Cortlandt Capital Corporation, respondents. ATTORNEYS: Claimant appeared Pro Se, Cincinnati, OH. Respondent Javier Hernandez did not respond to the Statement of Claim. Respondent Greenway Capital Corp. appeared Pro Se, through its Executive Vice President, Fred Luthy,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alfred S.J. Whang 96-03363 Name of Respondents Investors Associates, Inc Luis Loza Robert Loza CASE SUMMARY r In a claim filed with the National Association of Securities Dealers, Inc. on August 5, 1996, claimant Alfred S.J. Whang ("claimant"), who appeared Pro Se, alleged that respondent Investors Associates, Inc.