PUBLIC N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECLTUTIES DEALERS In ihe Matter of the Arbitraiion Between Name of Claimam Calvin R. Swinson 92-02300 Name of RestKtndents Shearson Lehman Brothers. Inc. Peter Middlekauf Linda Drummond CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13. 1992. Claimant Calvin R. Swinson. who appeared Pro Se. alleged that Respondent Shearson Lehman Brothers

JLJL-&7-1995 11:33 FROM TO 12128584429 P.06 N.A.S.D. AWARD NATIONAL ASSOCIAnON OF SECURIHES PEALERS In the Matter of the Aibhiation Between Name of ClaimMii^Counter-RflSPORdeTrt Prudential Securities Incorporated y2-02215 Kiune of Respondent/C.ounter^-lsiLunant Syed Sbabid Hussain REPRIESEIVTATION For Clalmant/Counter-Respoiidem: prudential Securities Incorporated was represented by Gabriel Loubier, Esq. of I^udeotiai Securities Incorporated,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 92-02007 Name of Respondent William Geiger REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant"): Joseph A. Vallo, Esq., Corporate Vice President. For Respondent William Geiger (referred to as "Geiger" or "Respondent"): Patricia D. Douglas, Esq. CASE INFORMATION Statement of Claim filed: June 15

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 92-01749 Name of Respondent Michael Allan Schneider CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 27, 1992, Claimant PaineWebber, Inc., through its in-house counsel, Sarah G. Anderson, Esq., alleged that Respondent Michael Allan Schneider has failed to pay taxes o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc, Case # 92-01590 Name of Respondent(s) Roger B. Webb REPRESENTATION For Claimant: Thomas Mierswa, Esq., in-house counsel of PaineWebber, Inc. For Respondent: No representative named. CASE INFORMATION Statement of Claim filed: May 8, 1992. Claimant's Submission Agreement signed on: May 5, 1992. Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) David Gen 92-03650 Name of Respondent(s) Jerome Kass Kenneth Jerome & Co., Inc. Kenneth Kass & Co., Inc. REPRESENTATION Claimant appeared pro se. Respondent Jerome Kass appeared pro se. The claim against Respondent Kenneth Jerome & Co and Kenneth Cass & Co. has been withdrawn without prejudice by Claimant on Octobe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between < Claimant Timothy D. Smith V. 01-06414 Denver, Colorado Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES Timothy D. Smith ("Claimant") was represented by Jeffrey J. Scott, Esq., of Scott & Associates, P.C., Denver, Colorado. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") was represent

OCT 82 '92 11=00 P.2 mxiooL ASsociAncN 07 sssjssrnsa DEALSSUS m the tbttsr of the Ai^ltratlaa Between Jaisimy UcntgcDery Soott Izic. 92-00893 Joseph UQcris Claimant inmney Uaatgcniecy Soott, XQc. ("daisent") t Richard Pucklsa, Sealer Vice PrealcSent of Jtemay MAtgonary- Scott, IZic. rtpceaeated the bxolcerage £im. ReapcDdait Jbaqph Mocrls ("Beapcpflmt"): Jos«ph Gabay of the law flm of Beocg, tlghe ft Cottrell, Statsneat of Claim filed c

SENT BY: 7-28-98 ; 7:49AM ;NASD ARBITRATION DPT-^ 12122087581;# 2/18 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitratba Between Name of Claimant Pnideittial Securities, Inc. vs. NASD #92-00811 Name of Respondent Richard Harris REPRESENTATION For Claimant: Patricia A. Fit2|>atrick, Esq. of New Yoik, New York. For Respond^t: Richard Hanis pro se. CASE INFORMATION Statement of Claim filed: March 6, 1

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C!aimant(s1 Euaivene F. Powell as Executor of the Estate of Altsne F. Walton PUBLIC 92-00641 Merrill Lynch Pierce Fenner & Smith Inc Clay Kaplan REPRESENTATION For Claimant Euaivene F. Powell as Executor of the Estate of Alene F. Walton: Thomas W. Talbot, Esq. of the law firm of Talbot, Ladson, Rowe and Edwards, P.C. For Responden