PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald E. Leverence 92-03743 Name of Respondent Lawrence H. Butler CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 4. 1992. Claimant Donald E. Leverence. who appeared Pro Se, alleged that Respondent Lawrence H. Butler, while employed by Cruttenden & Co. misled him i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Alan N. Pressman 92-04215 Name of Respondents) Fidelity Brokerage Services, Inc. National Financial Services Corporation For Claimant Alan N. Pressman (Claimant): Robert J. Poulson, Jr., Esq. located in New York City, New York. For Respondents Fidelity Brokerage Services, Inc. and National Financial Services Corporation

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ihe Matter of the Arbitration Between Name of Claimants Patrick J. and Betty Tonsor vs. 92-04214 Name of Respondents Shearson Lehman Brothers, Inc. Samuel L. Petro REPRESENTATION For Claimants David C. Smith, Esq. of Allman Spry Humphreys Leggett & Howingt, Winston- Salem, North Carolina. For Respondent Shearson Lehman Brothers, Inc. Victor A. Machinski, Jr., Esq. in-house

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman Stamm 92-04209 NameofRespondent Chatfield Dean & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16,1992, Claimant Norman Stamm, who appeared Pro Se, alleged that Respondent Chatfield Dean & Co., Inc. misrepresented to him that Royce Laboratorie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp of the Claimant Case Number 01-02516 Christopher K. Schrichte Name of the Respondents Hearing Site- Washington, D.C. Prudential Securities, Inc. and Forrest Williams RFPRF.SFNTATTOK OF PARTTRS Claimant Christopher K. Schrichte, hereinafter referred to as "Claimant", was represented by Lee J. Dixon, Dixon Representation Ltd., McLean, Virginia. Respondents Prudential

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lonnie M. Reed, Peter M. Reed, and Peter M. Reed as Trustee of the Peter M. Reed Revocable Trust, Claimants v. Titan Value Equities Group, Inc. and Glen Biener, Respondents Case Number: 00-00849 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Law Offices of Timothy A. Canning San Francisco, California For Resp

t I t u. I ; N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Columbia Management Company < •-»•. '*~~ 92-04206 Names of Respondents La Salle St. Securities, Inc., William Scon Loye. John C, Peterson, Jr.. and William Paul Rainwater REPRESENTATION Claimant, Columbia Management Company was represented by Foster Robberson, Esq. and Stephen R. Winkelman, E

;UL—i.4 '- 4 04:37=11 MhSD •- P.I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between NameofClaimants Harry and Peari Weinberg 92-04203 Name of Respondents J.W. Chutes Securities Inc. Richard Dnpois For Claimant*, Harry and Pearl Weuberg ("Weinbergs"): Gail P. Aird of Securities Arbitration Network Group, Boca Raton, Florida* For Respondents, J.W. Charles Securities Inc. ("JWC"), and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William R. West 92-04198 Name of Respondents Shearson Lehman Brothers, Inc (n/k/a Lehman Brothers, Inc.). Edward R. Phillipp, Jr. William A. Roberts REPRESENTATION For Claimant William R. West "William R. West ("Claimant"): John C. Albert, Esq., Crabbe, Brown, Jones, Potts & Schmidt, Columbus, OH. For Respondents Shears

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman Stamm 92-04197 NameofResDondent Chatfield Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December IS, 1992, Claimant Norman Stamm, who appeared Pro Se, alleged mat Respondent Chatfield Dean & Co., Inc. misled him into investing in 10,000 shares of Ai