N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot" the Arbitration Between Name of Claimants Kurt J. Meister and Kathi A. Kuehnel 92-04110 Name of Respondents Smith Barney Harris Upham & Co., Inc. Craig Frank " REPRESENTATION For Claimant: Anthony V. Trogan, Esq. of Weissman, Trogan, Young & Schloss. For Respondents, Smith Barney, Harris Upham & Co. Incorporated (now known as Smith Barney Shearson Inc.) and C

3_ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Scott T. and Barbara L. Norton vs. NASD #92-4103 N. Ml? °f Respondents Smith Barney, Harris, Upham & Co., Inc., Gary Hixata and John-Erik W. Anderson For Claimant: Jann W. Carpenter, Esq., Seattle , WA For Respondents: Alejandro Schwed, Esq., Smith Barney Harris Upham & Co., Inc., New York, NY CASE INFORMATION Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas Olick, Sr. Kathryn A. Olick Irene Olick Bungardy and Thomas Olick, Jr. 92-04070 Name of Respondent John Hancock Distributors, Inc. REPRESENTATION Claimants Thomas W. Olick, Sr. ("Mr. Olick, Sr."), Kathryn A. Olick ("Mrs. Olick"), Thomas W. Olick, Jr. and Irene Olick Bungardy ("Mrs. Bungardy") (collectively r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Angelo V, DeCaria, (Claimant) vs. Ameritrade, Inc., (Respondent) Number OL-02518 ing siter Pittsburgh, Pennsylvania OF PAPTT1TS Claimant, Angelo V. DeCaria, hereinafter referred to as "Claimant": Walter G. Bleil, Esq., Goldberg, Kamin & Garvin, Pittsburgh, PA. Previously represented by: Edward Leymarie, Jr., Esq., Cusick & Leymarie, Ellwood City, PA. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between ESTHERANNE M. BILLINGS, Claimant, v. NASD No. 92-04039 F.T. BANK & ASSOCIATES, F.T. BANK, an individual, WILLIAM J. BLACKWELL, Partner, F.T. Bank, WILLIAM J. BLACKWELL, an Individual, ROBERT K. MALKIN, Partner F.T. Bank, ROBERT K. MALKIN, an Individual, MUNICICORP OF CALIFORNIA, ^ANGUARD CAPITAL, KENBEE MANAGEMENT, INC., KENBEE LIMITED PARTNERS,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Diodata 92-04196 Name of Respondent Robert C. Perlman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December IS, 1992, Claimant Michael Diodata, who appeared Pro Se, alleged that Respondent Robert Perlman, while employed by Jonathan Allen & Co., Inc., sold his I

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NjmeofCIajmant Angelo Haiti 92-04195 Barrett Day Securities, Inc. PaulKeiley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 15,1992, Claimant Angelo Raiti, who appeared Pro Se, alleged that in August, 1990 he authorized Respondent Paul KeOey, Account Executive of Respondent Barrett

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph V. Marone 92-04192 Name of Respondent Fahnestock & Co., Inc. Kuhn Brothers & Laidlaw, Inc. REPRESENTATION For Claimant: Michael A. Rose, Esq. For Respondent Fahnestock & Co., Inc. ( "Fahnestock") J Charles E. Padgett, Esq., in-house counsel of Fahnestock. For Respondent Kuhm Brothers & Laidlaw, Inc("Kuhn Brothers

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin Mandelblatt 92-04190 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. Edwin Hunter REPRESENTATION For Claimant Martin Mandelblatt ("Claimant"): Herbert M. Linsenberg and H. Graham McDonald, Attorneys at Law, Philadelphia, PA For Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John T. White, Jr. 92-03999 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: John T. White, Jr. ("White") appeared pro se and was assisted by Deborah M. Paterson, Esq. For Respondent: Olde Discount Corporation ("Olde Discount") was represented by Mark L. Kowalsky, Esq. of Hertz, Schram & Saretsky, P