FINAL ORDER NASD Regulation, Lie. Office of Dispute Resolution In the Matter of the Arbitration Between Joesph G. A&her Qairaant, v. No. 95-00073 Dean Witter Reynolds, Inc., and Douglas B. Misantcmi Respondents. REPRESENTATION OF PARTIES Claimant Joseph G. Asher ("Claimant") was represented by Steven E. Stem, Esq. of Stern & Dcvitt located in Chicago, Illinois. Respondents Dean Witter Reynolds, be. ("Dean Witter") and Douglas B. Misanton

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. v. Case No. 95-00071 Name of Respondent Christopher L. Hessert REPRESENTATION For Claimant, PaineWebber, Inc., David W. Schmidt, Esq. located in New York, New York. For Respondent, Christopher L. Hessert, Joseph Keenan, Esq. of Bochat and Keenan located in Garden City, New York. CASE INFORMA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Price G. Martin 95-00065 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY En a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1995. Claimant Price G. Man in, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. did not properly follow his instructions to sell sto

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: C.O. Brown and Doris A. Brown, Claimants v. A.G. Edwards & Sons, Inc. and Jerry Beto, Respondents Case Number 00-03760 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: C. O. and Doris A. Brown In Pro Per Caldwell, Idaho For Respondents; Phyllis A. Hartrich A.G, Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Standard Aromatics, Inc., Pension Plan 95-00060 Name of Respondents Reich & Co., Inc. Steven Seffren REPRESENTATION For Claimant: Standard Aromatics, Inc., Pension Plan ("Claimant"), did not appear at the evidentiary hearing conducted in this matter. For Respondent: Reich & Co., Inc. ("Reich"), appeared, Eric J. Shames, Esq

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Charles P. Deegan, Executor of the Estate of Zelda T. Westlake 95-00059 Name of Respondents Shearson Lehman Brothers, Inc. PaineWebber, Inc. Henry James FaragalK REPRESENTATION Claimant Charles P. Deegan, Executor of the Estate of Zelda T. Westlake ("Claimant") was represented by Marcy C. Panzer, E

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gary S. Harhay, and Suzanne Harhay, Claimants, v. No. 95-00055 OLDE Discount Corporation, and Mark Chiapetta, and Deborah Bonsei, Respondents. REPRESENTATION OF PARTIES Gary S. Harhay, and Suzanne Harhay ("Claimants") was represented by Richard Himelrick, Esq., of Byrnes & Himelrick, Scottsdale, Arizona. OLDE Discount Corporat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward Lyon 95-00052 Name of Respondents RAF Financial Corp. Mark K. Skow CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on January 3, 1995 Claimant Edward Lyon ("Claimant 1 *), who appeared Pro Se, alleged that Respondents RAF Financial Corporation ("RAFFC"), and Mark K. Skow

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Michael T. Burke and Susan Bowling CONSOLIDATED AWARD Susan Bowling cust. for Cheresse Burke 95-00049 95-00050 Susan Bowling cust. for Elizabeth R. Burke Name of Respondents) Prudential Securities Inc. James Cronin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1995

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julia C. McKeon Trust, J.C. McKeon, trustee Claimants NASD Arbitration v. No. 95-00045 Emmett A. Larkin Company, Inc., First Heritage Investment Company, Agostino J. Zolezzi Respondents REPRESENTATION OF PARTIES Julia C. McKeon Trust, J.C. McKeon, trustee ("Claimants") was represented by A. Kendall Wood, Esq., Hinchy Witte Wood Anderson &