PHPI IP i i ' . L 1 \j \ W «™' «— I V/ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harvey and Elaine Luppescu 93-01522 Name of Respondents A.R. Schmeidler & Co., Inc. Arnold R. Schmeidler REPRESENTATION For Claimants, Harvey and Elaine Luppescu ("Claimants"): Christopher Lovell, Esq. located in New York, New York. For Respondents, A.R. Schmeidler

-,,-__ ll.j-.^j -.3SOC^ATICII Or' -ECURj .^.3 of Claimant ( s j Clarence D. Collins CASE -F 93-01516 I-iair.e of Respondent is j l Securities Znc . AQ^ar" Provence REP?-H3ENTATIC:; For Claimant: Fred T. Lowrance of Parser, Foe, Adams i Bernstein ror Respondent : John 5. 3arr of Maioney, Yeatts & 3arr CASE INFORMATION oca~e:"enz of Claim filed: 4/15/53 Claimant s Submission Agreement signea on; 4/13/93 JL=- teiv.ent 01 Answer rile

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between rtf Gretchen M. Humbert vs. Name of Respondent Kidder, Peabody & Co., Inc. Case # 93-015 15 ^PRESENTATION Claimant appeared pro se. For Respondent: Stella Chervin, Esq. in-house counsel at Kidder, Peabody & Co., Inc. CASE INFORMATION Statement of Claim filed: April 14, 1993. Claimant's Submission Agreement signed on: March 29, 1993.

::.A.J.Z. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Ir. ~r.e Matter cr tr.e .-.ic-traticn Between N"ame -~f Claimant -"""ephen A. Grinnell 93-01514 :Jame sf Respondent Mabon Securities Corporation REPRESENTATION For Claimant Stephen A. Grinnell ("Claimant"): Martin P. Unger, Esq., of Tenzer, Greenblatt et al. ?or Respondent Mabon Securities Corporation ("Mabon") : John E. r'.iley, Esq., of Kelley Drye et al. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gerald Arich 93-01512 Name of Respondents Prudential Securities, Inc. Vincent Charles Andriole CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 15, 1993, Claimant Charles Arich, who appeared Pro Se, alleged that in August 1983, he contacted Respondent Prudential Securities, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas R. Ehlers (Claimant) v. MetLife Securities, Inc. and State Street Research Investment Services, Inc. (Respondents) and MetLife Securities, Inc. and State Street Research Investment Services, Inc. (Third-Party Claimants) v. The Estate of Joseph Ehlers, (Third-Party Respondent) Case Number: 00-03646 Hearing Site: Chicago, Illinois REPRESENTATION OF

N . A . S . D . NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Case Number 93-01493 David A. Wood, Claimant, v. P.rudential Securities, Inc. and Howard T. Gierling, Respondents. REPRESENTATION; Stanley Yorsz, Esquire and Buchanan Ingersoll, P.C., for Claimant Larry K. Elliott, Esquire and Cohen & Grigsby/ for Respondents, Prudential Securities, Inc. and Howard T. Gierling CASE INFORMATION:

: ROH CTV CTR BUS " M HVflTT 10.ZE.L993 15:54 P. N.A.S.D. AWAHD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Clairnqnt Singleton Sheet Metal Works, Inc. and 93-01491 Name of Resnonri^r Prudential Securities, Inc. REPRESENTATION OF PARTIES Singleton Sheet Metal Works, Inc. ("Claimant") was represented by Linda McMillan, Esq. of Shaw & Quigg, Pueblo, Colorado. Prudential Securities,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kessler Asher Clearing, Inc. 93-01483 Name of Respondents Jeffrey Brooks Securities, Inc. National Financial Services Jeffrey Brooks CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 14, 1993, Claimant Kessler Asher Clearing, Inc., through its representative Tim Vincent, Senior

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rosalind Siegelman TTEE U/A DTD 12/31/85 93-01479 Name of Respondent A.F. Best Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 14, 1993, Claimant Rosalind Siegelman, TTEE, who appeared Pro Se, alleged that Respondent A.F. Best Securities, Inc. throu