NA'nONAL ASSOCUTION Ot SECimiTIES DEALERS AWARD In du» Matter of the Arbitradon Between LAWRENCE R.ROMANECK, dainmn^ V. SHEARSON LEHMAN KCmm QBRALD FC%£Y and QE0R3S S. SMITH; Rmfpondoots. SHEARSON LEHMAN HUTIDN. .QHRALD FOLEY and 0E0Rf3E S. SMTIK 1 . . • ; * »»» ' . • ' • . . • '! • . .4. V •• • • 'Tt^P«^K CUutaanta, • * V. • • ^ ' ^^BLACK&CO»,INC. NASD No. 9M827 nikd-PatQr Reapondent. For Clflimantt Janies Heremust

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURmES DEALERS In die Matter of tbe Ari)itiation Between Brie $zczeri>insld Names of Respondents 93-01809 T. Rowe Price Investment Services, Inc. T.Rowe Price Discount Brokerage The Chicago Corporation ^?ii?iIr^^^A.TIQN For Claimant. Eric Szczeriiinski ("Szczeriiinski"): James J. Moylan, Esq. of James J. Moylan & Assoc. Ltd., Chicago, Illinois. For Respondents, T. Rowe Price Investment Services. Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Robin Harris 93-01621 Name of Respondents Citibank, N.A. Citicorp Financial Services, Inc. Landmark Brokerage Services, Inc. Landmark Financial Slices, Inc. Landmark Financial Corporation Landmark Financial Services of New York, Inc. Landmark Land Company, Inc. The Davenport Group David Davenport Mark Davraport Edward Pell

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECL'RITIES DEALERS In tLe Matter of the Arbitration Between yT.m.' of Claimant Prudential Securities Inc 93-00869 Name of Respondent Marilee .\nn James REPRESENTATION For Claimant. Prudential Securities. Inc.: David Becker. Esq. of Kutak Rock. For Respondent. Marilee James: Dierdre M. James. Esq. of Conway, Faneil. Curtin & Kelly. P.C. CASE INFORMATION StMement of Claim filed: March 1. 1993.

K.A.S.a AWARD NATIONAL ASSOCIATION OF SECURmiS DEAUas in tte Matter ot the AtbitnujonBetwe^—~ $3-01308 Barington Capital Qaup, L.P. David J. Bum PorCIateiant: Por Respondent: ^^fSf'^li^- «icJ»n. Esq. of T«jz^^&BenWatt. Fallon & KajAm New Ymk. N^ "^^"^"^^ & New Yodc, Statement of Oaim filed: April 1,1993. Clainuinfs Submission Agreement signed on: Match 30, 1993. j1n?T^?^^ ^bmissicm Ag^ament signed on: indent, David J. Bunt's Submis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tilie Aibitration Between Allan H. Altman 93-00267 Nameof Resi>ondent Edward D. Jones & Co. In a claim filed with the National Association of Securities Dealers, Inc. on January 26, 1993, Claimant Allan H. Altman, who appeared Pro Se, alleged that Respondent Edward D. Jones & Co. lured him away from Merrill Lynch, Pierce, Fenner Sc Smith, Inc. with a promise of $3,000.00 mi

Award N.VSD Regulation, Inc. In the MaUer of the .Arbitration Between; Beryn Hammil. Claimant vs. \ an Kasper & Company and John David Crockett. Respondent. Case Number: 98-04664 Hearing Site: San Francisco. C.-\ REPRESENTATION OF PARTIKS Claimant, Beryn Hammil, ("Claimant"): In Pro Per, 15 Tunnel Lane. Corte Madera. CA 94925. Respondent. Van Kasper & Company ("Van Kasper") and Respondent. John Da\ id Crockett. ("Crockett"): Kell> J. Vknnihan. Esq.. Keesa

IN ARBITRATION BEFORE THE NASD REGULATION, INC, MUTUAL OF OMAHA INVESTOR SERVICES, INC., Claimant, v. GARY ARMSTRONG, Respondent, NASD Case No.: 98-04234 CONSENT AWARD REPRESENTATION OF PARTIES For Claimant: For Respondent: James M. Bausch Cline, Williams, Wright, Johnson 66 Oldfather One Pacific Place 1125 South 103rd Street, Suite 720 Omaha, Nebraska 68124 Gary Armstrong, representing himself, 45 Asbury Av

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hugh E. Vassar Quick & Reilly, Inc. Claimant NASD Arbitration No. 95-02667 Respondent REPRESENTATION OF PARTIES Hugh E. Vassar ("Claimant") was represented by Bruce Munro, Esq., Thiots Love Herschberger & McLean, Palo Alto, Califomia. Quick & Reilly, Inc. ("Respondent") was represented by Lisa Bertain, Esq., Keesal Young & Logan, San Franci

K.A.«i.D. AWARD NAIf ONAL ASSOCIATEQN OF SSdURmBS IDEALBUS Ifi the Matter of' tfw Arbitration Setwedn ^ SBl I^nanoisl Services Company For Cldmam MIdiaeJ j. Fee CQslnMUit") appeared j. Mietisel Farwil, Attomey at Uw, PhOadelpliia, Sf.'i!???*!!*.*'^*^- rRespoodent") appeared Michael L. Banks, Attorney at Uw piinedmpnia, PA. * The StMement of Claim waa filed on Januaiy 13,1993. Ciairaant'B Subaaisston Asreemnd was sfgoed on htimy 13,1993. Re^iondent'a S