Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Martha-Ann Brehaut-Walker Names of the Respondents The Ohio Company n/k/a Fifth Third Securities Smith Barney, Inc. n/k/a Salomon Smith Barney, Inc. Case Number: 00-00372 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Martha-Ann Brehaut-Walker ("Walker"), hereinafter referred to as

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David W. Virtue 93-01752 Name of Respondent Albert J. Foid CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1993, Claimant David W. Virtue, who appeared Pro Se, alleged that on April 9, 1992 he was approached by Respondent Albert J. Ford of Hibbard Brown & Company, Inc

NASD STIPULATED AWARD Claimant Kemper Securities, Inc. f/k/a Kemper Securities Group, Inc. Respondents ) Case Number Kenneth Tripoli ) 93-01747 REPRESENTATION For Claimant, Kemper Securities, Inc. f/k/a Kemper Securities Group, Inc. ("Kemper"): A. Brad Busscher, Esq. of Kemper, Chicago, Illinois. For Respondent, Kenneth Tripoli: Marc Ross, Esq. of Bernstein & Wasserman, New York, New York. CASE INFORMATION Statement of Claim filed: April

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jacob R. Isken 93-01728 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 30, 1993, Claimant Jacob R. Isken, who appeared Pro Se, alleged that Respondent Olde Discount Corporation failed to timely notify him of the notice of i

N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SFr.URTTTFS DEALERS. INC. In the matter of the Arbitration Between Sultan Haque NASD Arbitration No. 93-01725 Spear Rees & Co. Thomas Rees For Claimant: REPRESENTATION Jeffrey W. Cowan, Esq., Kendig & Ross, Los Angeles, California For Respondent & Third-Party Respondent: Mark T. Drooks, Esq., Bird, Marella, Boxer, Wolpert & Matz, Los Angeles, California CASEJNFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Clark and Lois Bono Clark Bono IRA Lois Bono IRA Clark Bono 93-01724 Name of Respondents First Albany Corporation Ken Tobias REPRESENTATION For Claimants Clark and Lois Bono, Clark Bono IRA, Lois Bono IRA and Clark Bono, individually (collectively referred to as "Claimants"): Jeffrey A. Sellers, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ida B. Woodward Name; of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Ronald L. Smith 93-01721 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on April 29, 1993, Claimant Ida B. Woodward, who appeared Pro Se, alleged that Respondent Ronald L. Smith

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Hecht MODIFIED AWARD 93-01720 Name of Respondent Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1993, Claimant David Hecht, who appeared Pro Se, alleged that Respondent Hibbard Brown & Co., Inc., through its registered representative, Gary

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Dean Witter Reynolds Inc. 93-01719 Name of Rcspondcnt(s') Neil Bauman REPRESENTATION For Claimant: Erica Bunin, Esq. of Dean Witter Reynolds, Inc. For Respondent: Stephen X. O'Brien, Esq. of Culley, Marks, Tanenbaum, Reifsteck, Potter & Capell. CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreeme

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen Rakower, Claimant v. Laidlaw Global Securities, Inc. and Sanjay S. Mody, Respondents Case Number: 00-03666 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael C. Rakower, Esq. Latham & Watkins New York, New York For Respondents: Marc S. Gottlieb, Esq. Law Offices of Marc S. Gottlieb New York, New York CASE INFORMATION