N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alfred J. Hoch, III 92-03992 Name of Respondents Lew Lieberbaum & Company, Inc. Bear Stearns Securities Corporation Patrick J. Ogadi John J. Fasano REPRESENTATION Claimant Alfred J. Hoch, III ("Claimant") was represented at the hearing by N. Curtis Ward, Esq. of the law firm of Butera, Beausang, Cohen & Brennan.

N.A.S.D. AMENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Edward Damm 92-03985 Name of Resoondent(s) Manchester Rhone Securities, Inc. William Trainer Andrew Boxer Bernard Musmand REPRESENTATION For Claimant: Anthony J. Horn, Esq. of Philadelphia, PA. For Respondents: Manchester Rhone Securities, Inc. and William Trainor did not attend the hearing but Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Maureen Foley 92-03968 Name of Respondent^ Dean Witter Reynolds Inc. Stephen L. Hewlett REPRESENTATION For Claimant Maureen Foley: Richard M. Gelb, Esq., of the law firm of Gelb and Gelb, Boston, MA. For Respondents Dean Witter Reynolds, Inc. and Stephen L. Hewlett: David C. Boch, Esq., of the law firm of Bingham Dan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: pf fop PTflirnftrjf PF^ 1\Tirmhpf 01-02517 Monica M. Zakwieia of thf Rpqpfifi,r]ff[|< ; ffr an'no; .^j-fp- Baltimore, Maryland Ferris, Baker Watts, Inc. Brenda Games o Claimant, Monica M. Zakwieia ("Zakwieia") hereinafter referred to as "Claimant": Thomas C. Costello, Esq., West & Moore, LLC, Baltimore, MD. Respondents, Ferris, Baker Watts, Inc. ( i; FBW") a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Millie Caraba and Sam Caraba 92-03960 Name of Respondents Dean Witter Reynolds Inc. York Securities, Inc. Yaeger Securities, Inc. Robert Wood Debra Goldsmith David Khalilzad Harvey Rudowitz Martin Pike For Claimants Millie and Sam Caraba ("Claimants") appeared Dan Druz, Esq., Sea Girt, New Jersey. For R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Glenda McConkey and Ronald McConkey 92-03871 Name of Respondents a^MMH^^BMMnas^^BBaa««K 9 Prudential Securities Incorporated; Bruce G. Vollrath REPRESENTATION For Claimants: Glenda McConkey and Ronald McConkey ("McConkey") were represented by Anthony J. Horn, Esq., of the Law Offices of Anthony J. Horn, Esq., located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence Saltis, M.D., individually, Richard Zahn, M.D. and Jon L. Weingart, M.D., trustees of the Surgical & Medical Neurology Associates, Inc. Profit Sharing and Pension Trusts 92-03820 Name of Respondents Butcher & Singer, Inc. (n/k/a Wheat First Butcher Singer, Inc.) George S. Hoffman REPRESENTATION For Claimants Lawre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant DBL Liquidating Trust, et ai. 92-4)3764 Name of Respondent Butcher & Company, Inc. a/k/a Butcher & Singer, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. oh November 6, 1992, Claimant DBL Liquidating Trust, by and through DanM Hume^'Esq;, of Tenzer, Greenblatt Fallen & Kaplan, N

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Natalie Albin 92-03758 Name of Respondent Prudential Securities Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 15. 1992. Claimant Natalie Albin who appeared Pro Se, alleged that on January 25, 1985 she opened an IRA account with Respondent Prudential Se

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tom Kirkpatrick 92-03745 i Name of Respondents Sanwa-BGK Securities Co., L.P. William J. Kenney REPRESENTATION For Claimant, Tom Kirkpatrick: Hayward Richard Pressman. Esq. For Respondent, Sanwa-BGK Securities Co., L.P.: Danforth Newcomb, Esq. of Shearman & Sterling. For Third Party Respondent, William Kenney: Willi