Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bob Schwartz, Claimant v. Donaldson, Lufkin and Jennette Securities and James J. Hausberg, Respondents Case Number: 01-06390 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: H. Thomas Fehn, Esq. Fields, Fehn & Sherytin Los Angeles, California Allan N. Taffet, Esq. Hertzfeld & Rubin, P.C. New York, New York

AWARD NASD Regulation, Inc. OfBce of Dispute Resolution In the Matter of the Arbitration Between First of Michigan Corporation Claimant, v. Case Number 95-02818 Jeffi-ey M. Connell Respondent. REPRESENTATION OF PAPTnrc Plopa Esq of First of Michigan Corporation located in Detroit, Michigan. y ey ij. lopa, tsq. ot Respondent Jeffi-ey M Comiell ("Respondent") did not answer the Statement of Claim. CASE INFORIUATTOxr Claimant's Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURmES DEALERS In the Matter of the Arbitration Between Name of Claimant Jacqueline F. Farrell 95-02800 Name of Respondents Smith Barney Shearson, Inc. Patricia A. McGinley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 9, 1995 Claimant Jacqueline Farrell ("Claimant"), who appeared Pro Se, alleged that Respondent Smith Bamey Shearson, Inc. ("SBSI"), t

i 9 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Donald J. & Barbara A. McKay 95-02791 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Peter Brooker STATION For Claimants: Clifford J. Hunt, Esq. and John R. Keifoer, Esq. of the law Hrm of Riden, Earle & Keifher, P.A., St. Petersburg, FL. For Respondents: David P. Ackerman, Esq. of the law fom of Ackerman, Link & Sartory,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Ronald M. Hanson, Claimant, and No. 95-02790 Paul Alessandrini, Blake W. Alexander II, George A. Carhart. Richard M. Engelhardt, and Robert Todd Financial Corporation, successor-in-interest to Westfield Financial Corporation, Respondents. REPRESENTATIOIV OF PARTIES Claimant Ronald M. Hanson ("Hanson") represented himself. He is an attorney with Wo

4 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claunant Ira M. Fleischman 95-02776 Name of Respondents Rosemary T. Aitken Sun Investment Services Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 8, 1995, Claimants Ira M. and Dorothy S. Fleischman, who appeared Pro Se, alleged that, Respondent Sun Investment Services Comp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph E. & Margaret J. Milardo 95-02774 Name of Resix)ndents A.G. Edwards & Sons, Inc. J. Dewey Kolb, m W. Bruce Body REPRESENTATION For Claimants, Joseph E. Milardo and Margaret J. Milardo ("Milardo"): Norman Meyers of Meyers & Bierkan, P.A., Sun City Center, Florida. For Respondents, A.G. Edwards & Sons, Inc. ("Edward

NASD Arbitration No. 95-02749 N.A.S.D. m^^J} NATIONAT,, ASSQCIATTON OF RRC^TPTVTES DRAT.T^lP.g r^jr In the matter of the Arbitration Between Name nf ri ^z^pi-(o) Leslie R, Barish Name nf P^c^poy^r^^ri^ Titan/Value Equities Group, Inc. Raymond W. DeMott For Claimant: Carl A. Grubb, Esq., San Diego, Califomia and Jules L. Federman, Investors Rights Association, San Diego, Califomia TLbn^r^'f''^!-* ^^^^^i^^^- Rafeedie, Esq., Jones

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth K. Brown 95-02740 Name of Respondents Smith Barney, Inc. Rex S. Willoughby CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 6, 1995, Claimant Kenneth K. Brown ("Claimant"), through his counsel, G. Mark Brewer, Esq., La Jolla, California, alleged that Respondent Smith Barn

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Milton B. Hirsch 95-02730 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Alan M. Gendler REPRESENTATION Claimant Milton B. Hirsch ("Claimant") was represented by Keith E. Blaha, Esq., Cleveland, Ohio. Respondents Merrill Lynch Pierce Feimer & Smith, Inc. ("MLPFS") and Alan M. Gendler ("Gendler