N.A.S.D. NftTICNAL ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between Name of Clg*«infc(fl) PUBLIC John J. Healey 91-03317 Linsco Corporation Barbara Duf field For Claimant: John J. Healey appeared pro se. For Respondent THnar.r> Corporation: Stephanie L. Brcvaa, Esq., in-house counsel at Tilnsro Corporation in Boston, Massachusetts. For Respondent Barbara Duf field: Barbara Duf field appeared pro se. GRSE Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Susan Young and Clarice Roberts 91-03308 Name of Respondents Prudential-Sac he Securities Inc. Earl R. Betts REPRESENTATION For Claimants, Susan Young and Clarice Roberts ("Young and Roberts 1 '): Daniel R. Taylor. Jr.. Esq. of Petree Stockton. For Respondents, Prudentiai-Bache Securities, Inc. ("Prudential") and E

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between First of Michigan, Division of Fahnestock, Inc. and 01-00810 Southfield, Michigan Giovanni A. Volpe • REPRESENTATION OF PARTIES First of Michigan, Division of Fahnestock, Inc. ("Claimant") was represented by Michael P. Coakely, Esq., Miller, Canfield, Paddock & Stone, PLC, Detroit, Michigan. Giovanni A. Volpe ("Respondent") was represented by Richard W. Paige, Esq., Hon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ida M. Michelotti Claimant vs. Robert Thomas Securities, Inc. Joseph Johnson Respondents CASE #91-03302 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 22, 1991, Claimant Ida M. Michelotti through her counsel Donald A. Hitzel, Jr. , Esq., of Pretzel & Stoufer, Chicago, IL, alleged that

X.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimantfs) Douglas E. & Kathy A. Sundeen 41-0329^ Name or' Respondent! s) Shearson Leliman Brothers. Inc. Chris Sharer REPRESENTATION For Claimant: Donald G. McGrath. Esq. of Falk ^ Sicincr. For Respondent: Jeffrey A. Sellers, Esq. of Silverherg. Yood. Sellers A: McGorry CASE INFORMATION Statement of Claim Hied: October 22. 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Walter M. & Marion F. Hesson Case # vs. 91-03298 Name of Respondents Tucker, Anthony & R.L. Day, Inc. Richard F. Garrity Cohen Esrey Real Estate Services Inc. UST Investment Advisors Inc. REPRESENTATION For Claimants, Walter M and Marion F. Hesson ("Claimants"), Harry S. Miller, Esq. from the law firm of Shafner &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kathleen S. Mayers, individually, and C/F Jessica Ann Heller, Matthew E. Heller, and Daniel 1C. Heller vs. NASD #91-03296 Name of Respondents Shearson Lehman Brothers, lac. David Rasmussen For f^a-i-maTyts; Craig S. Paliojuist, Esq., Seattle, Washington For Respondents : Jerry B . ^^^r^r Esq. , Miller, Hash, Wiener

N.A.S.D. AWARD ASSOCTXnCH OF SECURITIES DEALERS Arbitration Between NASD Arbitration No. 91-03288 Name of Respnnrjpnts Smith Barney Harris Upham & Co. James Peterson A. G. Edwards, Inc. For Claimant: John p. Mullen, Esq. - Callister, Duncan & Nebeteer - Salt Lake City Utah For PogprnHianfrM • flm-tt-b Aa-rncy HaZXis Uphaffl. & CO. anrf .Tatmag PeteTSCtl - Judith C. Greene, Esq. - Smith Barney Harris Ojpham & Co* - New York Statem

NATIONAL ASSOCIATION OP N.A.S.D. AWARD DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant (s) ) ) Carl M. Collier ) ) Name of Merrill Lynch Pierce Fenner & flnril-h Tnr } Larry Meyers ) Arbitration National AMoctetion of Stcurttia* Daatore, Inc. Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case No. 91-03285 For Claimant, Carl M. Collier ( "Collier H ) : pro sj. For Respondents, Merril

N.A.S.D. AWARD NATICWSL ASSOCIATION OF SECURITIES HEALERS In the Matter of the AdDitration Between of Allan Byrns NASD Arbitration NO. 91-03279 o£ ewedder Inc. For Claimant; In Pro Se For Respondent: Judy Louie, Esq. of PaineWebber inc. CRSB Statement of Claim filed: October 21, 1991 Claimant's Submission Agreement signed on: October 2, 1991 Statement of Answer filed by Respondent, on: January 13, 1992 Respondent's Nation to