N.A.S.D. AWARD NATIONAL ASSOCL^TION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Marshall R. Lustig 94-03664 NameofResoondentfs^ First Albany Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Sqitember 8, 1994, Claimant Marshall R. Lustig, who appeared Pro Se, alleged that Respondent First Albany Coiporation failed to execute a sale of sb)ck. Claimant

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Josephine Bellomo, Diana Bellomo JTWROS 94-03663 Name nf Respondent Union Equity Partners CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 2, 1994, Claimants Josephine Bellomo and Diana Bellomo ("Claimants"), through their representative Dominick Bellomo, alleged that broker Jack Leavitt ("Leavitt"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Matthew L. Rang 94-03660 Name of Respondents Thomas James Associates, Inc. Bryan Peavy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 8, 1994, Claimant Matthew L. ibiig, who ai^)eared Pro Se., alleged that Respondent Thomas James Associates, Inc. ("TJA") and Bryan Peavy

N.A.S.D. AWARD MATXOIIAL A8SOCZATIOM OF BECURXTZES DEALERS In the Matter of 1:he Arbitration Between Name of Claimant Mary Margaret Otis 94-03659 Name of Respondents Smith Barney Shearson, inc. Carole Lynn Franks S. Paul Powers, II RBPRBSBliTATIOM Claimant Mary Margaret Otis ("Claimant") appeared pro se For Respondents Smith Barney Shearson, Inc. ("Smith Barney"), Carole Lynn Franks ("Franks") and S. Paul Powers, II ("Powers")

CASE NO. 94-03653 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc V. Name of Respondent Jennifer Ward-Collins REPRESENTATION For Claimant, Prudential Securities, Inc. ("Claimants") Jill A. Byrne, Esq. form the law firm of Kutak Rock located in Washington, D.C. For Respondent, Jennifer Ward-Collins ("Respondent") Thomas P. Ward from the law f

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert D. Hall ~ and 94-03651 Name of Respondent Hanover Sterling & Company, LTD. RFPRESKNTATION OF PARTIKS Robert D. Hall ("Claimant") appeared pro se. Hanover Sterling & Company, LTD. ("Respondent") was represented by David M. Sayid, Esq. Sayid & Associates, New York, New York. CASE INFORMATION The Statement of Clai

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namg of ClMmapt Bemice A. McBride 94-03650 Njtme < ?f Rgsppndgnts Jonathan B. Eaton Metropolitan Life Insurance Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1994, ClaimantJBemice A. McBride, jhrough her representative Peter Oriando, Aibitration Consultant, of Arbitration Services of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lillian A. Strang, Trustee of the Lillian A. Strang 1994 Trust U/A dated August 22, 1994, Claimant v. PaineWebber, Inc. n/k/a UBS PaineWebber, Inc., First Union Securities, Inc. and Glenn J. Fama, Respondents Case Number: 01-05146 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Anthony M. Englese, Esq. Law Offices of Anthony M. Englese San Fra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of C"! aimant (si Jane Wagner Lily Tomlin NASD Arbitration No. 94-03646 Name of Respondent(s) Evelyn Litwok Elaine Garzarelli RBPRESEMTATION For Claimants: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California For Respondent Evelyn Litwok: Stephen B. Wexler, Esq., Wexler & Burkhart, P.C, Mitchel Field,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Ciaimants Allen Geissler and Kenneth Geissler NASD Arbitration No. 94-02746 Name of Respondents Linsco/Private Ledger Corporation Francis "Lynn" Sanem REPRESENTATION OF PARTIES Allen Geissler and Kenneth Geissler ("Claimant") was represented by J. David Penwell, Esq., Bozeman, Montana. Linsco/Private Ledger Corp. ("Respondent"