PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Consolidated Matter of the Arbitration Between Name of Claimants Edward J. O'Connor CONSOLIDATED AWARD John J. O'Connor, Jr. Donald E. Florence 92-01261 92-01275 vs. 92-01280 Name of Respondents Robert Todd Financial Corp. Steven Cloyes Steven G. Kashian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 10,

he Matter cf the Arbitration Between ) RONALD MARTINO ' ) CASE NO. 92-01144 Claimant ) v. ) CHARLES HARWELL, III, ) Respondent ) REPRESENTATION For Claimant: Philip M. Giordano, Esq. and Linda Trent, Esq., Ricklefs & Giordano, P.C., Boston, MA For Respondent: Pro gg (February 16, 1993) Daniel J. Dugan, Esq., Spector Gadon & Rosen, Philadelphia, PA (March 12, 1993} CASE INFORMATION Statement of Claim dated: March 26, 1992 (fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hadwen C. Fuller. 0 92-01097 Name of Respondents PaineWebber. Inc. Frederick Alesandro Donald Walsh REPRESENTATION Claimant Hadwen C. Fuller, n ("Claimant"). Loma G. Schofield. Esq. from the law firm of DeBevoise & Plimpton. For Respondents. PaineWebber. Inc. ("PaineWebber"). Fred Allesandro ("Allesandro"). and Dona

PUBLIC NATIONAL A3SCCIATICN OF SECURITIES DEALERS, INC. CASE #92-01023 AWARD In the Matter of the Arbitration Between Florence A. Loeb Claimant V3. Invest Financial Corporation Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1992, Claimant Florence A. Loeb. who appeared Pro Se, alleged that the Respondent Invest Financial Corporation invested her funds without her au

:i.A.S.3. AWARD MATRONAL ASSOCIATION OF SECURITIES CEALERS "In zr.e Matter of the Arcitraticn Between Mame cf Claimant Victor J. Scegall Name of Respondent Shearscn Lehman Brothers, tr.c. 92-0036; REPRESENTATION ?or Claimant Victor J. Stegall i"Claimant" 1 : Benjamin c. Yale. Esq.. of Yale i Hoy. For Respondent Shearson Lehman Brothers, Inc. ("Shearson 11 ): Victor A. Machinski. Esq., of Shearson. CASE INFORMATION

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kevin G. Schramka and Lori L. Schramka, Ciaimants vs. Robert W. Baird & Co., Inc., and William A. Naleid, Respondents. Mnmhpr QQ.n34.1P Hparin Site 1 Milvwai ikiap f Claimants, Kevin G. Schramka and Lori L. Schramka, hereinafter referred to as "Claimants", were represented by Michael J. Cohen, Esquire, of Meissner, Tierney, Fisher & Nichols, Milwaukee, W

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Elsmarie Norby Claimant vs. PaineWebber, Inc. and Respondents Rebecca Miller AWARD CASE NO. 89-00363 SUMMARY OF ISSUES This case was filed on February 6, 1989. Claimant alleges that Respondents induced her to purchase three, ten thousand dollar limited partnership interests, even though Respondents knew that said investments were unsuitable in light

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Kenneth Grossfeld. ) Claimant, ) ) Case 189-00276 vs. ) Award ) Charles Schwab & Co., Inc., ) and Charles Schwab individually, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Arthur J. Leibell. Esq. Mr. Arieh Leo Douer Mrs. Penny N. Miller CASE SUMMARY This claim was filed with the NASD, Inc. on February

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Anthony and Connie Masciantonio, ) Claimants ) Case #88-03920 ) vs. ) Award ) Charles Schwab & Co., Inc., ) ) Respondent ) CASE SUMMARY Claimants allege that Respondent failed to properly advise them of the status of their account, that the manager, Jerry Roney, refused to accept their numerous phone calls, that Respondent entered their

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betweeriy John R. Vaccaro, as personal ) representative of the estate of ) Ernest Whitaker ) Case No. 88-03912 of jtespondents ) Marrill Lynch, Pierce, Fanner ) & Smith, Inc., Jbhn A. Haley j David B. Ellis ) Heard before the members of the Arbitration Panel: Peter J. Porman, Esq. Public Leslie Bishop Industry W. Allen Schmitt Public This nat