N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Amalia Wintrier 94-02153 Name of ResDondent(s) Fidelity Investments Institutional Srvcs David Beechler Sal LaBarbera REPRESENTATION For Claimant, Amalia Wintner ("Claimant"), Ralph A. Gant, Esq. located in New York. N.Y. For Respondents, Fidelity Investments ("Fidelity"), David Beechler ("Beechler") and Sal LaBarbera,

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Mingya Hsu and John Astalis, Claimants, v. NASD No. 94-02151 Merrill Lynch Pierce Fenner & Smith and Bruce Young, Respondents. Representation For Claimant: Michael Huberman, Esq. of Greenbaum & Ferentz, Newport Beach, California For Respondents: Daniel Finnerty, Esq. of Keesal, Young & Logan, Long Beach, California Case Information Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ann M. Lundberg 94-02140 p?ini if) Linsco Financial Group, Inc. Willian A. Horrocks The Claimant's representative at the hearing was Walter Barry. For Respondent Linsco Financial Group ("Linsco"): David J. Freniere, Esq. For Respondent William A. Horrocks ("Horrocks"): Jeffrey B. Loeb, Esq. of the law firm of Ardiff and M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. CASE NO. v. 94-02135 Name of Respondents Christine L. Bidwell & Anna K. Raetzell v. Third Party Respondent Robert Jones REPRESENTATION For Claimant: Edward Degenhardt, Esq., PaineWebber, Inc. For Respondents: William Paul McGuire, Esq., McGuire & Ford Co., L.P.A. Third Party Respondent appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Leo Greisdoff, Cynthia E. et al. 94-02129 Name of Respondent^) Dean Witter Reynolds Inc. W. Rodney Thomas CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1994, Claimants Leo, Cynthia and Rubin Greisdoff ("Claimants"), who appeared Pro Se, alleged that Respondents Dean Wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles and Victoria Simone vs. 94-02128 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1994, Claimants Charles and Victoria Simone, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. sold securi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard E. Albrecht 94-02126 Name of Respondents The Ohio Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 6, 1994, Claimant Richard E. Albrecht, who appeared Pro Se, alleged that he purchased 1000 Units of the Brunner Companies Income Properties L.P. #1 from Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Stephen G. Eisen 94-02125 Name of Respondent(s) Michael T. Shuttlesworth Johnny Garrison CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1994, Claimant Stephen G. Eisen ("Eisen"), who appeared Pro Se, alleged that Respondents gave him incorrect margin and commission infor

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Arthur O. & Mildred A. Bachman Gladys D. Bernard Phyllis G. Collins Brandt Family Trust Donna L. and John H. Gary Irwin Goldstein Pearl C. James Murray Kalisher Edmund & Maureen C. Lunder Alfred Mandell James R. & Alice M. O'Mara Shirley Schiffman Harry Whitmer 94-02123 Name of Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas M. Lippert v. Keith Lesser and Fahnestock & Co., Inc. Case Number: 01-03155 Hearing Site: Seattle,'Washington REPRESENTATION OF PARTIES For Claimant: Fredrick D. Huebner, Esq. Cable, Langenbach, Kinerk & Bauer, LLP Seattle, Washington For Respondents: Eric J. Shames, Esq. Fahnestock & Co. Inc. New York, New York CASE INFORMATION Statement of Claim filed: J